DFX Intelligence

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E••••••• C•••••• M••••••••• L••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Scottsdale, AZe•••••••••.com

••• Locked

As of 2026-09-21 · identity and classification; each section below carries its own date

Regulatory AUM: $908M
PE fund assets: $447M
PE funds: 5
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (6)Transactions

As of 2026-09-21 · 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.
EBITDA from $5.0MSectors financial_servicesControl control
Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
Reported $908M of regulatory assets at its last Form ADV filing.
2026-06-11
RAUM $908M

Classification

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

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 5 of 5 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
Size band: Lower middle marketdefined by: proxy: $0.45bn Private Equity Fund GAV on the Form ADV filed 2024-05-28

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 5 of 5 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Dec 21, 2012 to Jun 11, 2026
RAUM: $908Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 5
PE fund GAV, latest filing: $447Mreported gross assets (Form ADV), not fund size
All private fund GAV: $689Mevery private fund type, latest filing
2024 PE fund GAV: $447Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: filed 2024-05-28, latest gav Private Equity Fund $447M, latest counts Private Equity Fund 5, lifetime distinct Private Equity Fund 5
Employees: 13
Headquarters: Scottsdale, AZ
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

no observed deals yet

Stated by the firm

Sectors: financial services
Geography: not stated or not yet read
Revenue: not stated or not yet read
EBITDA: from $5.0M
Enterprise value: not stated or not yet read
Equity check: not stated or not yet read
Control: control
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

5 on record, 1 more on the reporting tape

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
E••••••• C•••••• P••••••• F••• I••• L• ADV: Private Equity Fund	Buyout fund	2024 first reported on Form ADV	$46.9M as of May 28, 2024	no Form D	Unknown
E••••••• C•••••• P••••••• F••• I••••• L• ADV: Private Equity Fund	Buyout fund	2024 first reported on Form ADV	$3.1M as of May 28, 2024	no Form D	Unknown
E••••••• C•••••• P••••••• F••• I•• L• ADV: Private Equity Fund	Buyout fund	2018 first reported on Form ADV	$276M as of May 28, 2024	no Form D	Unknown
E••••••• C•••••• P••••••• F••• I•••• L• ADV: Private Equity Fund	Buyout fund	2018 first reported on Form ADV	$0 as of May 28, 2024	no Form D	Unknown
E••••••• C•••••• P•••••••• L• ADV: Private Equity Fund	Buyout fund	unknown	$121M as of May 28, 2024	no Form D	Harvest

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•• R•• I••••••••• L•••	Private Equity Fund	2026 to 2026		$244M filed Jun 11, 2026	reports.adviserinfo.sec.gov

Team

6 current, 1 former

Partner (4)

D•••• A•••• K••• · Managing Director · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
M•••••• M•••• M••••••• · Co-Owner · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
M•••••• C•••••• M••••• · Managing Director · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
T•••••• B••••• M••••••• · Managing Director · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Board or advisory (1)

C••••• L••• M••••• · Trustee · since Dec 1, 1992 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

D••••• C•••••• J••••••• · Chief Compliance Officer, Chief Operating Officer, General Counsel, Managing Director, Member · since Jan 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

1 former (kept with end dates)

M•••••• A•• J•••••• · Comptroller · Jan 1, 2012 to Mar 27, 2014 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

2 disclosed

N•• Y••• S•••• C••••• R••••••••• F••• in E••••••• C•••••• P•••••••• L• $20.0M osc.ny.gov
N•• Y••• S•••• C••••• R••••••••• F••• in E••••••• C•••••• P••••••• F••• I•• L• $20.0M osc.ny.gov

Events

1 most recent

Dec 21, 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

Freshness99 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9888888888888889,"evidence":"2 method: sum of component points, capped at 1.0
model score-pe-1
Research priority47 · 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
missing: no dated transactions
model score-pe-1
Acquisition appetite25 · MODERATE: as of: 2026-09-23items: [{"code":"RECENT_FUND","points":0.2,"caution":"a recent fund is evidence of deplmethod: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness67 · ELEVATED: as of: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.6666666666666666,"evidence":["website","desmethod: sum of component points, capped at 1.0
missing: portfolio, transactions, 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)

Record

First observed: Sep 13, 2026
Last observed: yesterday
Observations: 40
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

E••••••• C•••••• M••••••••• L•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Allocators.

Independent 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.

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