DFX Intelligence
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S•••••••• A•••• M••••••••• L•
CandidateClassification candidateLower middle marketSEC registered investment adviser· New York, NYs•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $1.5B
- PE fund assets
- $718M
- PE funds
- 14
- 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
- Sectors transportation_logistics,software,financial_services,aerospace_defense,media_telecom
- Graphs 2
- Placement agents 1
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 13 Private Equity Fund(s) among 31 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.72bn Private Equity Fund GAV on the Form ADV filed 2024-10-14
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 13 Private Equity Fund(s) among 31 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 13, 2012 to Mar 30, 2026
- RAUM
- $1.5Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 14
- PE fund GAV, latest filing
- $718Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.3Bevery private fund type, latest filing
- 2024 PE fund GAV
- $720Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 42%
- Fund type mix
- filed 2024-10-14, latest gav Hedge Fund $257M, Private Equity Fund $718M, latest counts Hedge Fund 9, Private Equity Fund 12, lifetime distinct Hedge Fund 18, Private Equity Fund 13
- Employees
- 16
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- transportation logistics, software, financial services, aerospace defense, media telecom
- 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
- ••• Locked
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
13 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• C•• ADV: Private Equity Fund | buyout or unlabelled | 2024 first reported on Form ADV | $13.0M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• E• ADV: Private Equity Fund | buyout or unlabelled | 2024 first reported on Form ADV | $8.0M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• C•• ADV: Private Equity Fund | buyout or unlabelled | 2024 first reported on Form ADV | $1.2M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••••••• L•• • S••••• C•• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $1.2M as of Mar 29, 2024 | no Form D | Unknown | |
| S•••••••• O•••• F••• L• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $160M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••• F••• I• L• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $102M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• A• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $6.1M as of Oct 14, 2024 | no Form D | Unknown | |
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• T• ADV: Private Equity Fund | buyout or unlabelled | 2020 first reported on Form ADV | $70.5M as of Oct 14, 2024 | no Form D | Mature | |
| S•••••••• C•••••• M••••••••• M••••• L•• • S••••• E• ADV: Private Equity Fund | buyout or unlabelled | 2020 first reported on Form ADV | $57.8M as of Oct 14, 2024 | no Form D | Mature | |
| S•••••••• C•••••• M••••• F••• L• ADV: Private Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $163M as of Oct 14, 2024 | no Form D | Mature | |
| S•••••••• M••••••••• M••••• L•• • S••••• S• ADV: Private Equity Fund | Fund of funds | 2019 first reported on Form ADV | $76.9M as of Oct 14, 2024 | no Form D | Mature | |
| S•••••••• M••••••••• M••••• L•• • S••••• A••• ADV: Private Equity Fund | Fund of funds | 2018 first reported on Form ADV | $59.6M as of Oct 14, 2024 | no Form D | Mature | |
| S•••••••• M••••••••• M••••• L•• • S••••• S•• I••••••• O••••••••• F••• ADV: Private Equity Fund | Fund of funds | 2018 first reported on Form ADV | $0 as of Oct 14, 2024 | no Form D | Harvest |
Team
6 current, 11 former
Managing partner (3)
- A•••••••• L• L••••• · President of · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• a• L••••• · Managing Member · since May 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••••• a• L••••• · Founder, Managing Partner and · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (1)
- A• M••••••• · Partner and · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (2)
- A••••• J••••• M••••••• · Chief Compliance Officer / General Counsel · since Jan 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K•••• T••• V•••••• · Chief Operating Officer/Chief Financial Officer · since Sep 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
11 former (kept with end dates)
- E••••• a• M••• · Managing Member · Nov 1, 2017 to Mar 30, 2020 Inference
- A•••••••• L••••• L•••••• · Limited Partner · Sep 1, 2007 to Mar 31, 2015 Inference
- L••••• B••••• · Limited Partner · Apr 1, 2013 to Mar 31, 2023 Inference
- M•••••• L•••••••• R••• · Partner · Aug 1, 2010 to Jul 31, 2013 Inference
- R••••• J•••• O•••• · Member · Nov 1, 2017 to Mar 30, 2020 Inference
- W•••••• V••••• L•• · Limited Partner · Jan 1, 2009 to Feb 29, 2016 Inference
- D•••• B•••• J•••••• · Chief Financial Officer · Dec 1, 2011 to Apr 1, 2013 Inference
- K•••• T••• M••••• · Chief Compliance Officer · Jan 1, 2015 to May 27, 2016 Inference
- M••• L•••• B••• · General Counsel/Chief Compliance Officer/Chief Administrative Officer · Dec 1, 2011 to Jan 23, 2020 Inference
- N•••••• H•••• · Chief Compliance Officer · Mar 1, 2013 to Sep 23, 2014 Inference
- R••••• G• S••••••• · Chief Operating Officer/Chief Financial Officer · Dec 1, 2011 to Oct 14, 2024 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)
- E•••• P••••••• 1 shared · one time · last Jan 1, 2021
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
6 most recent
- May 28, 2026••• Locked
- Mar 30, 2026••• Locked
- Oct 22, 2024••• Locked
- Oct 22, 2024••• Locked
- Oct 22, 2024••• Locked
- Feb 13, 2012••• Locked
Across the graphs
S•••••••• A•••• 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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