DFX Intelligence
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E••• S••••• C•••••• M••••••••• L••
Hybrid managerClassification probableLower middle marketSEC registered investment adviser· New York, NYe•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $12B
- PE fund assets
- $95.8M
- PE funds
- 4
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- RAUM $12B
Classification
How this organization is classified, and on what basisHybrid manager · 1 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 4 of 17 distinct vehicles; hedge, securitized or liquidity vehicles 11
- Size band
- Lower middle marketdefined by: proxy: $0.10bn Private Equity Fund GAV on the Form ADV filed 2023-03-31
- Strategies
- SECONDARIES
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 4 of 17 distinct vehicles; hedge, securitized or liquidity vehicles 11
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 13, 2012 to Mar 31, 2023
- RAUM
- $12Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $95.8Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $11Bevery 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
- 24%
- Fund type mix
- filed 2023-03-31, latest gav Hedge Fund $11B, Other Private Fund $4.6M, Private Equity Fund $95.8M, latest counts Hedge Fund 7, Other Private Fund 1, Private Equity Fund 4, lifetime distinct Hedge Fund 11, Other Private Fund 2, Private Equity Fund 4
- Employees
- 29
- Headquarters
- New York, NY
- 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
1 on record, 3 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| E••• S••••• C•••••• C• 2• L•• ADV: Private Equity Fund | Continuation vehicle | 2023 first reported on Form ADV | $4.3M as of Mar 31, 2023 | no Form D | Unknown |
Gross assets by year from the annual reporting tape
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| E••• S••••• C•••••• S•• 3• L•• | Private Equity Fund | 2022 to 2023 | $83.1M filed Mar 31, 2023 | adviserinfo.sec.gov | |
| E••• S••••• C•••••• C• 1• L•• | Private Equity Fund | 2022 to 2023 | $4.8M filed Mar 31, 2023 | adviserinfo.sec.gov | |
| E••• S••••• C•••••• E• 1• L•• | Private Equity Fund | 2022 to 2023 | $3.7M filed Mar 31, 2023 | adviserinfo.sec.gov |
Team
5 current, 2 former
Managing partner (2)
- G•••••• B•••• P•••• · Managing Member · since Feb 1, 2002 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• A•••• C•••••••• · President · since Nov 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- G••••• P•••• · Partner · since Jan 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- C••••••• B••••• P••••• · Chief Compliance Officer And General Counsel · since Mar 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K•••• S•••• · Chief Financial Officer · since Jan 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
2 former (kept with end dates)
- D•••• M•••••• E•••• · Chief Operating Officer · Sep 1, 2015 to Nov 25, 2020 Inference
- K••• E•••••••• B•••• · Chief Compliance Officer And General Counsel · Sep 1, 2015 to Mar 30, 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
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, 2026••• Locked
- Feb 13, 2012••• Locked
Across the graphs
E••• S••••• C•••••• M••••••••• L•• is the same institution as 1 record in RIA and Wealth.
RIA 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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