DFX Intelligence
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S••••••••• C•••••• M••••••••• L••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Greenwich, CTs••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $204M
- PE fund assets
- $206M
- PE funds
- 14
- Investments held
- 3 of 24
- Deals, last 12 months
- 0
Form ADV
Form ADV
Form ADV
DFX transaction tape
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Equity cheque $10.0M to $25.0MSectors industrials,manufacturing,consumer,energy,education,media_telecom,technology,infrastructureGeography GlobalControl control
- Graphs 1
- Placement agents 5
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 32 of 32 distinct vehicles are sworn Private Equity Funds; 16 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.21bn Private Equity Fund GAV on the Form ADV filed 2024-03-27
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 32 of 32 distinct vehicles are sworn P•••••• E••••• Funds; 16 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Jan 30, 2012 to Mar 27, 2024
- RAUM
- $204Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 14
- PE fund GAV, latest filing
- $206Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $206Mevery private fund type, latest filing
- 2024 PE fund GAV
- $206Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-27, latest gav Private Equity Fund $206M, latest counts Private Equity Fund 14, lifetime distinct Private Equity Fund 32
- Employees
- 6
- Headquarters
- Greenwich, CT
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
23 observed deals
Stated by the firm
- Sectors
- industrials, manufacturing, consumer, energy, education, media telecom, technology, infrastructure
- Geography
- Global
- Revenue
- not stated or not yet read
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- $10.0M to $25.0M
- Control
- control
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 21, platform 3
- period
- to 2024-05-14, from 2014-01-01, undated holdings 17, dated observations 11
- window
- last 2024-05-14, first 2022-10-28
- control
- control 3, unknown 21
- companies
- 23
- geography
- count 1, share 0.043, value TX
- investments
- 24
- seller kinds
- transactions
- 4
- cadence by year
- 2022 other deals 1, 2023 platforms 1, 2024 other deals 2
- platform add on
- add ons 0, platforms 3, add ons per platform 0
- sector known for
- 3
- disclosed value usd
- n 0
- sector distribution
- count 1, share 0.043, value consumer services, examples CPAP.com, count 1, share 0.043, value education, examples Scentia, count 1, share 0.043, value industrial manufacturing, examples LSI
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 1, share 0.043, value education, examples Scentia, count 1, share 0.043, value plastics rubber products, examples LSI
23 companies on the graph (4 transactions); most in consumer services (1); 3 platforms and 0 add-ons; observed 2014 to 2024
Funds
32 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••••••••• G••••• O••••••••• F••• I••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2021 first reported on Form ADV | $10.8M as of Mar 27, 2024 | no Form D | Unknown | |
| S••••••••• D•• R••• ADV: P•••••• E••••• Fund | Fund of funds | 2019 first reported on Form ADV | $11.7M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• A• S••• R••• ADV: P•••••• E••••• Fund | Fund of funds | 2018 first reported on Form ADV | $92.1M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• M• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2018 first reported on Form ADV | $0 as of Mar 31, 2019 | no Form D | Wound down | |
| S••••••••• S•• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2017 first reported on Form ADV | $4.4M as of Mar 31, 2023 | no Form D | Wound down | |
| S••••••••• S• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2017 first reported on Form ADV | $3.4M as of Mar 27, 2024 | no Form D | Unknown | |
| S••••••••• B•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $3.1M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• R••• S••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $1.5M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• R••• P•••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $1.4M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• I••••••••• P••••••• R••• Y•••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $815,490 as of Mar 27, 2024 | no Form D | Unknown | |
| S••••••••• C•• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2017 first reported on Form ADV | $623,220 as of Mar 27, 2024 | no Form D | Unknown | |
| S••••••••• I••••••••• P••••••• R••• B••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $545,987 as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• I••••••••• P••••••• R••• T•••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2017 first reported on Form ADV | $506,812 as of Mar 27, 2024 | no Form D | Unknown | |
| S••• L•••••• P••••••••• C• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2016 first reported on Form ADV | $1.4M as of Mar 27, 2024 | no Form D | Harvest | |
| S••••••••• A•• I• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2016 first reported on Form ADV | $816,318 as of Mar 31, 2023 | no Form D | Wound down | |
| S••• L•••••• P••••••••• X• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2016 first reported on Form ADV | $0 as of Mar 31, 2019 | no Form D | Wound down | |
| S••• L•••••• P••••••••• T••••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2016 first reported on Form ADV | $0 as of Mar 31, 2019 | no Form D | Wound down | |
| S••• L•••••• P••••••••• S••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2015 first reported on Form ADV | $74.2M as of Mar 27, 2024 | no Form D | Mature | |
| S••• L•••••• P••••••••• L••• M•••••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2015 first reported on Form ADV | $5.1M as of Mar 30, 2016 | no Form D | Wound down | |
| S••• L•••••• P••••••••• N••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2015 first reported on Form ADV | $3.7M as of Mar 27, 2024 | no Form D | Unknown | |
| S••• L•••••• P••••••••• O•• •••••••• L••• ADV: P•••••• E••••• Fund | Feeder or parallel | 2015 first reported on Form ADV | $0 as of Mar 31, 2019 | no Form D | Wound down | |
| S••• L•••••• P••••••••• C•• •••••••• L• ADV: P•••••• E••••• Fund | Feeder or parallel | 2014 first reported on Form ADV | $21.5M as of Dec 6, 2021 | no Form D | Wound down | |
| S••• L•••••• P••••••••• L••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2014 first reported on Form ADV | $3.7M as of Mar 31, 2020 | no Form D | Wound down | |
| S••• L•••••• P••••••••• O••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | 2013 first reported on Form ADV | $4.4M as of Mar 31, 2020 | no Form D | Wound down | |
| S••• L•••••• P••••••••• 3• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $24.9M as of Sep 12, 2014 | no Form D | Wound down | |
| S••• L•••••• P••••••••• 1• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $13.6M as of Apr 2, 2013 | no Form D | Wound down | |
| S••• L•••••• P••••••••• G•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $11.2M as of Sep 12, 2014 | no Form D | Wound down | |
| S••• L•••••• P••••••••• L•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $9.7M as of Sep 12, 2014 | no Form D | Wound down | |
| S••• L•••••• P••••••••• S•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $8.2M as of Apr 2, 2013 | no Form D | Wound down | |
| S••• L•••••• P••••••••• L•••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $5.5M as of Sep 12, 2014 | no Form D | Wound down | |
| S••• L•••••• P••••••••• C•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $4.1M as of Mar 31, 2017 | no Form D | Wound down | |
| S••• L•••••• P••••••••• A••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $1.7M as of Mar 30, 2016 | no Form D | Wound down |
Team
6 current, 0 former
Managing partner (2)
- C•••• R••••• H••••• · Managing Member · since Dec 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R•••• K••••• · Managing Partner · since Dec 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (2)
- E••••• M• R•••••• · Managing D•••••or · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•• K••••• · Independent Investment Committee Member · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (2)
- J••• R•••••• C••••• · Chief Administrative Officer & Managing D•••••or · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• R•••••• C••••• · Chief Compliance Officer · since Dec 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Portfolio
24 relationships, 3 platforms, 0 add-ons
Transactions
3 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| May 14, 2024 | Majority investment | S•••••• | Sponsor (confirmed), Sponsor (confirmed) | s••••••.com |
| Mar 9, 2023 | Platform acquisition | A•• E••••• | Sponsor (confirmed) | s••••••.com |
| Oct 28, 2022 | Growth investment | C••••••• | Sponsor (confirmed) | s••••••.com |
Placement agents, lenders, advisers and co-investors
5 relationships
Placement agents (5)
- T•• S••••••••• G•••• G••• 2 shared · recurring · last Jan 1, 2021
- M••••• C•••••• P••••••• G••• 2 shared · recurring · last Jan 1, 2020
- F•••• I••••••••• P••••••• G••• 2 shared · recurring · last Jan 1, 2019
- D•••••• D••••••• F••••••••• G••• 2 shared · recurring · last Jan 1, 2023
- T•• S••••••••• G•••• E••••• G••• 1 shared · one time · last Jan 1, 2020
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
19 most recent
- Sep 1, 2026••• Locked
- May 14, 2024••• LockedPlatform investmentFactS••••••Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS)
- May 14, 2024••• Locked
- May 1, 2024••• Locked
- Jan 19, 2024••• Locked
- Oct 18, 2023••• Locked
- Mar 20, 2023••• Locked
- Mar 9, 2023••• Locked
- Mar 9, 2023••• Locked
- Jan 5, 2023••• Locked
- Nov 7, 2022••• Locked
- Oct 28, 2022••• Locked
- Oct 28, 2022••• Locked
- Sep 14, 2022••• Locked
- Mar 23, 2022••• Locked
- Mar 31, 2021••• Locked
- Feb 25, 2021••• Locked
- Aug 19, 2020••• Locked
- Jan 30, 2012••• Locked
Across the graphs
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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