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.

F••••• P•••••••• L••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Westerly, RIf•••••••••.com

••• Locked

As of 2026-09-23 · identity and classification; each section below carries its own date

Regulatory AUM: $307M
PE fund assets: $307M
PE funds: 2
Investments held: 1 of 1
Deals, last 12 months: 0

Funds and vehicles Team (3)Transactions

As of 2026-09-23 · identity and classification; each section below carries its own date

Why this matters

This firm publishes its own acquisition criteria, so a fit test does not have to be inferred from past deals.
Equity cheque $15.0M to $50.0MRevenue $50.0M to $500M
Also held on 4 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 4
Reported $307M of regulatory assets at its last Form ADV filing.
2026-03-31
RAUM $307M

Classification

How this organization is classified, and on what basisBuyout firm · 1 in historyShow

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 6 of 6 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
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, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 6 of 6 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Feb 14, 2012 to Mar 31, 2026
RAUM: $307Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 2
PE fund GAV, latest filing: $307Mreported gross assets (Form ADV), not fund size
All private fund GAV: $307Mevery private fund type, latest filing
2024 PE fund GAV: $307Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: filed 2026-03-31, latest gav Private Equity Fund $307M, latest counts Private Equity Fund 2, lifetime distinct Private Equity Fund 6
Employees: 3
Headquarters: Westerly, RI
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

2 observed deals

Stated by the firm

Sectors: not stated or not yet read
Geography: not stated or not yet read
Revenue: $50.0M to $500M
EBITDA: not stated or not yet read
Enterprise value: not stated or not yet read
Equity check: $15.0M to $50.0M
Control: not stated or not yet read
Thesis: not stated or not yet read

Observed from deals on record

roles: unknown 1
period: to 2007-06-26, from 2007-06-26, undated holdings 1, dated observations 1
window: last 2007-06-26, first 2007-06-26
control: unknown 1
companies: 2
geography: count 1, share unknown, value UT, count 1, share unknown, value VA
investments: 1
seller kinds
transactions: 1
cadence by year: 2007 other deals 1
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 0
disclosed value usd: n 1, max $348M, min $348M
sector distribution
holding period years: n 0
repeat counterparties
subsector distribution

2 companies on the graph (1 transactions); observed 2007 to 2007

Funds

6 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
N• I••• L••• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$183M as of Mar 31, 2026	no Form D	Harvest
A•• I••••• H•••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2019 first reported on Form ADV	$37.0M as of Mar 31, 2019	no Form D	Unknown
F••••• H•• P•••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2014 first reported on Form ADV	$11.3M as of Mar 31, 2015	no Form D	Unknown
F••••• P••••••• C•••••• F••• I••• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$621M as of Mar 31, 2019	no Form D	Unknown
F••••• P••••••• C•••••• F••• I•• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$123M as of Mar 31, 2026	no Form D	Harvest
F••••• P••••••• C•••••• F•••• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$200,000 as of Mar 28, 2014	no Form D	Wound down

Team

3 current, 2 former

Partner (2)

P•••• L••• · Managing Director, Member · since Jan 1, 2008 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
W•••••• G•••••• S•••• · Managing Director, Member · since Jan 1, 2008 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

W••••• J••• W••••• · Vice President, Chief Financial Officer, Chief Compliance Officer · since Jan 1, 2008 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)

R•••••• D••••••• · Managing Director, Member · Jan 1, 2008 to Mar 4, 2020 Inference
T•••••• P•••• M••••• · Managing Director · Jan 1, 2008 to Feb 7, 2013 Inference

Portfolio

1 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
P••••• M•••••• C•••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)

Transactions

1 on record

Date	Type	Target	This firm’s role	Source
Jun 26, 2007	Take-private	1• 8•• C••••••• I••	Sponsor (derived)	sec.gov

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

2 disclosed

O••••• P••••• E•••••••• R••••••••• F••• in F••••• P••••••• C•••••• F••• I•• L••• $50.0M oregon.gov
O••••• P••••• E•••••••• R••••••••• F••• in F••••• P••••••• C•••••• F••• I••• L••• $50.0M oregon.gov

Events

1 most recent

Feb 14, 2012
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness100 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":1,"evidence":"0 days"}]method: sum of component points, capped at 1.0
model score-pe-1
Research priority44 · MODERATE: as of: 2026-09-23items: [{"code":"SCALE_BAND","points":0.2,"evidence":"LOWER_MIDDLE_MARKET"},{"code":"COmethod: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
model score-pe-1
Profile completeness75 · HIGH: as of: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.75,"evidence":["website","description","funmethod: sum of component points, capped at 1.0
missing: stated criteria, lenders, intermediaries
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)
Venture Capital Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: today
Observations: 45
Sources: 4
Open research tasks: 1

Reading this profile

Across the graphs

F••••• P•••••••• L•• is the same institution as 4 records in Venture Capital, Independent Sponsors, RIA and Wealth and Allocators.

Venture Capital1Independent Sponsors1RIA and Wealth1Allocators1

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…