DFX Intelligence
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R••••••• C•••••• I••••••••• C•••••••••
Hybrid managerClassification probableunsizedSEC registered investment adviser· Carlsbad, CAr•••••••••.net
Hybrid manager, based in Carlsbad, 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
- $3.7B
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 2
- Placement agents 4
- RAUM $3.7B
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 2 of 35 distinct vehicles; hedge, securitized or liquidity vehicles 21
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: P•••••• Equity Funds are 2 of 35 distinct vehicles; hedge, securitized or liquidity vehicles 21
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- May 17, 2013 to Mar 30, 2026
- RAUM
- $3.7Bregulatory 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
- $3.9Bevery 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
- 6%
- Fund type mix
- filed 2024-03-26, latest gav Hedge Fund $3.0B, Other Private Fund $519M, latest counts Hedge Fund 11, Other Private Fund 6, lifetime distinct Hedge Fund 21, Other Private Fund 12, Private Equity Fund 2
- Employees
- 9
- Headquarters
- Carlsbad, 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
14 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••••• P•••••• R••••••• L•••••• ••• L• ADV: Hedge Fund | Credit fund | 2019 first reported on Form ADV | $36.1M as of Dec 14, 2022 | no Form D | Wound down | |
| S••••• P•••••• R••••••• L•••••• ••• L• ADV: Hedge Fund | Credit fund | 2019 first reported on Form ADV | $24.3M as of Mar 31, 2023 | no Form D | Wound down | |
| S••••• R••••• • P•••• O••••••••• V•• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $500,000 as of Sep 24, 2018 | no Form D | Wound down | |
| S••••• R••••• • P•••• O••••••••• I• L• ADV: Hedge Fund | buyout or unlabelled | 2017 first reported on Form ADV | $13.2M as of Mar 31, 2023 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2014 year in the fund name | $60.7M as of Mar 26, 2024 | no Form D | Mature | |
| N•••••• R•••••••• I••••• I•••••••• L•••••• P••••••••• ADV: Hedge Fund | buyout or unlabelled | 2014 first reported on Form ADV | $2.3M as of Mar 26, 2024 | no Form D | Harvest | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2012 year in the fund name | $10.5M as of Mar 31, 2023 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2009 year in the fund name | $66,728 as of Dec 14, 2022 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2008 year in the fund name | $122,973 as of Nov 1, 2021 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: P•••••• Equity Fund | Buyout fund | 2006 year in the fund name | $587 as of Nov 1, 2021 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2005 year in the fund name | $19.5M as of Mar 26, 2024 | no Form D | Harvest | |
| E••••••••• C•••••• P••••••• 2••• L• ADV: Hedge Fund | Buyout fund | 2000 year in the fund name | $482,128 as of Mar 31, 2023 | no Form D | Wound down | |
| E••••••••• C•••••• P••••••• 1••••• L• ADV: Hedge Fund | Buyout fund | 1998 year in the fund name | $63,722 as of Mar 31, 2023 | no Form D | Wound down | |
| R••••••• I••••• P••••••• ADV: Hedge Fund | buyout or unlabelled | unknown | $533,049 as of Mar 31, 2023 | no Form D | Wound down |
Team
3 current, 7 former
Managing partner (1)
- T••••• W•••• U••••• · President, Secretary, Chief Compliance Officer And Director · since Apr 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (2)
- R••••• V••••• V•••••••• · Director · since Mar 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- V••••••• K••• B•••••• · Treasurer And Director · 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)
7 former (kept with end dates)
- A••••• R••••••• R••• · President And Director · Apr 1, 2013 to Mar 30, 2021 Inference
- G••••••• M•••• C••••• · Treasurer · Apr 1, 2013 to Mar 29, 2019 Inference
- J•••••• H••••• · Director · Apr 1, 2013 to Mar 30, 2021 Inference
- J••• A•••••• C••••••••• · Director · Apr 1, 2013 to Mar 30, 2021 Inference
- K•••• H•••••• · Director · Jan 1, 2016 to Mar 30, 2021 Inference
- P•••• F•••• G•••••••• · Director · Apr 1, 2013 to Mar 30, 2023 Inference
- S••••• P••• R•••••••• · Director · Apr 1, 2013 to Mar 14, 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
4 relationships
Placement agents (4)
- G••••• R••••••• I••••••••• L••• 13 shared · very strong · last Jan 1, 2020
- O•••••••• C•••••• L•• 1 shared · one time · last Jan 1, 2019
- M••••• • C•••••• L•• 1 shared · one time · last Jan 1, 2019
- S••••• P•••••• W•••••• L• 1 shared · one time · 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
1 most recent
- May 17, 2013••• Locked
Across the graphs
R••••••• C•••••• I••••••••• C••••••••• is the same institution as 2 records in RIA and Wealth and Private Credit.
RIA and Wealth1Private Credit1
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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