DFX Intelligence
Private Equity Intelligence
Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Firms / D•••••••• C•••••• M••••••••• L••
D•••••••• C•••••• M••••••••• L••
CandidateLower middle marketSouth Norwalk, CTSEC registered investment adviser
Classification
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 17 Private Equity Fund(s) among 42 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.41bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 17 P•••••• Equity Fund(s) among 42 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 14, 2012 to Mar 28, 2024
- RAUM
- $2.6Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 10
- PE fund GAV, latest filing
- $410Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $3.7Bevery private fund type, latest filing
- 2024 PE fund GAV
- $410Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 41%
- Fund type mix
- filed 2024-03-28, latest gav Hedge Fund $3.3B, Private Equity Fund $410M, latest counts Hedge Fund 7, Private Equity Fund 10, lifetime distinct Hedge Fund 25, Private Equity Fund 17
- Employees
- 35
- Headquarters
- South Norwalk, CT
- Office address
- 20 MARSHALL STREET, SUITE 310, South Norwalk, CT, 06854
- Business phone
- 203-838-3188
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- not stated or not yet read
- Revenue
- not stated or not yet read
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- not stated or not yet read
Observed from deals on record
Nothing observed yet. Behaviour is computed from transactions and portfolio relationships, which have not been collected for this firm.
Funds
17 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| D••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $110M as of Mar 28, 2024 | no Form D | Active deployment | |
| D••• L• ADV: P•••••• Equity Fund | Fund of funds | 2021 first reported on Form ADV | $17.5M as of Mar 28, 2024 | no Form D | Unknown | |
| D••••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $147M as of Mar 28, 2024 | no Form D | Harvest | |
| D••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $44.3M as of Mar 28, 2024 | no Form D | Harvest | |
| D••• ••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2019 first reported on Form ADV | $30.9M as of Mar 28, 2024 | no Form D | Harvest | |
| D••••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $26.9M as of Mar 28, 2024 | no Form D | Harvest | |
| D••••• ••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2019 first reported on Form ADV | $20.2M as of Jan 13, 2020 | no Form D | Wound down | |
| D• A•• 2•• L• ADV: P•••••• Equity Fund | Fund of funds | 2019 first reported on Form ADV | $17.9M as of Mar 28, 2024 | no Form D | Active deployment | |
| D• U•••••• ••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2019 first reported on Form ADV | $16.8M as of Oct 20, 2022 | no Form D | Wound down | |
| D••••• ••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2019 first reported on Form ADV | $12.2M as of Mar 28, 2024 | no Form D | Harvest | |
| D• A•• 2•• ••••••• L• ADV: P•••••• Equity Fund | Fund of funds | 2019 first reported on Form ADV | $2.7M as of Mar 28, 2024 | no Form D | Active deployment | |
| D••••• ••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2019 first reported on Form ADV | $659,056 as of Mar 28, 2024 | no Form D | Active deployment | |
| D•••••••• G••••• P•••••• I••••••••• L••• ADV: P•••••• Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $242M as of Feb 28, 2019 | no Form D | Wound down | |
| D• U•••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | 2018 first reported on Form ADV | $229M as of Oct 20, 2022 | no Form D | Wound down | |
| D• R••• 2• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $45.2M as of Feb 28, 2019 | no Form D | Wound down | |
| D•••••••• G••••• P•••••• I••••••••• I•• L••• ADV: P•••••• Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $29.2M as of Feb 28, 2019 | no Form D | Wound down | |
| D•••••••• S•••••• O••••••••• I• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2016 first reported on Form ADV | $52.5M as of Feb 28, 2019 | no Form D | Wound down |
Team
4 current, 4 former
Managing partner (1)
- R••••• K•••••• C•••••• · Managing Member · since Jan 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (3)
- A••• N•• S•••••• · General Counsel/Chief Compliance Officer · since Feb 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• A•••••• G••••••• · Chief Operating Officer · since Jan 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- N••••••• M•••••• S•••••••• · Chief Financial Officer · since Nov 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
4 former (kept with end dates)
- S•••••••• •••• E•••••••• · President · Jan 1, 2013 to Oct 20, 2022 Inference
- D•••••• L••• B•• · Chief Compliance Officer · Jan 1, 2014 to Jan 13, 2020 Inference
- F•••••••• E••••• A•••••• · Coo · Jan 1, 2008 to Jan 22, 2013 Inference
- Y••••• N•• S•••••• · Cfo · Jan 1, 2007 to Mar 31, 2017 Inference
Portfolio
0 relationships, 0 platforms, 0 add-ons
No portfolio relationship collected for this firm yet. They arrive from the firm’s portfolio page, deal announcements and filings.
Transactions
0 on record
No transaction naming this firm has been collected yet. The deal tape is read from SEC filings and cited announcements.
Placement agents, lenders, advisers and co-investors
1 relationships
Placement agents (1)
- N••• C••••••• L•••••• 2 shared · recurring · last Jan 1, 2018
LP commitments
0 disclosed
No LP commitment collected yet. An LP edge needs a public disclosure with a quote, such as a pension plan’s report or an announcement naming the LP.
Events
2 most recent
- Mar 31, 2026D•••••••• C•••••• M••••••••• L••: P•••••• Equity Funds on Form ADV 10 (2024 extract) -> 8 (roster 2026-09-01)
- Feb 14, 2012D•••••••• C•••••• M••••••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
D•••••••• C•••••• M••••••••• L•• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.
Independent Sponsors1RIA and Wealth1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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