DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get Private Equity Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S•• P••••••• • C••
CandidateClassification candidateunsizedSEC exempt reporting adviser· Mill Valley, CA
Candidate, based in Mill Valley, CA.
Composed from this firm's filed classification and location. It has no published description on record.
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- Not established
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 2
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 1 Private Equity Fund(s) among 10 vehicles; no rule fired
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 1 Private Equity Fund(s) among 10 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- exempt reporting adviser
- Form ADV filings
- Feb 14, 2012 to Feb 4, 2020
- RAUM
- unknownregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- $76.9Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 10%
- Fund type mix
- filed 2020-02-04, latest gav Hedge Fund $76.9M, latest counts Hedge Fund 3, lifetime distinct Hedge Fund 4, Real Estate Fund 5, Private Equity Fund 1
- Employees
- unknown
- Headquarters
- Mill Valley, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
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
2 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S•• I• C••••••••• P••••••••• L••• ADV: Hedge Fund | Co-investment vehicle | unknown | $34.5M as of Mar 31, 2014 | no Form D | Unknown | |
| S•• A••••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $500,000 as of Mar 31, 2014 | no Form D | Unknown |
Team
3 current, 3 former
Partner (2)
- E•• J••••• W••••••• · Managing Director · since Mar 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• H••••• S••••• · Managing Director · since Jan 1, 1990 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- K•• M•••• S•••• · Chief Financial Officer · since May 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
3 former (kept with end dates)
- E••••• H•••• M•••••••• · Managing Director · Jul 1, 2008 to May 5, 2015 Inference
- W•••••• E••••• O•••••••• · Managing Director · Jan 1, 1990 to Apr 17, 2012 Inference
- J• •••• J•••••• · Chief Compliance Officer · Jan 1, 2016 to Jan 22, 2019 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
0 relationships
No counterparty collected yet. These are counted from transactions that name both this firm and the other party, and from placement agents on this firm’s funds.
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
- Sep 1, 2026Adviser CRD 157279 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Feb 14, 2012S•• P••••••• • C•• first filed Form ADV in the extract (IA)
Across the graphs
S•• P••••••• • C•• is the same institution as 2 records in RIA and Wealth and Real Estate Funds.
RIA and Wealth1Real Estate Funds1
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.
Checking your plan…