DFX Intelligence
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F•••••• L••• S••••••• M••••••••• L•
CandidateClassification candidateLower middle marketSEC registered investment adviser· Palo Alto, CAf••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $7.0B
- PE fund assets
- $640M
- PE funds
- 3
- Investments held
- 1 of 141
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Sectors life_sciences,technology
- Graphs 4
- Placement agents 1
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 3 Private Equity Fund(s) among 8 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.64bn Private Equity Fund GAV on the Form ADV filed 2024-03-30
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 3 Private Equity Fund(s) among 8 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Nov 18, 2021 to Mar 31, 2026
- RAUM
- $7.0Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $640Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $7.0Bevery private fund type, latest filing
- 2024 PE fund GAV
- $640Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 38%
- Fund type mix
- filed 2024-03-30, latest gav Hedge Fund $1.2B, Private Equity Fund $640M, Venture Capital Fund $882M, latest counts Hedge Fund 2, Private Equity Fund 3, Venture Capital Fund 3, lifetime distinct Hedge Fund 2, Private Equity Fund 3, Venture Capital Fund 3
- Employees
- 53
- Headquarters
- Palo Alto, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
141 observed deals
Stated by the firm
- Sectors
- life sciences, technology
- 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
- roles
- unknown 141
- period
- to 2025-01-01, from 1991-01-01, undated holdings 122, dated observations 19
- window
- last unknown, first unknown
- control
- unknown 141
- companies
- 141
- geography
- count 1, share 0.007, value IN
- investments
- 141
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 12
- disclosed value usd
- n 0
- sector distribution
- count 8, share 0.057, value healthcare services, examples Radionetics Oncology, Alpha-9 Oncology, in 2018;, Armo Biosciences, count 3, share 0.021, value life sciences, examples Adverum Biotechnologies, Marcadia Biotech, Krystal Biotech, count 1, share 0.007, value industrial manufacturing, examples Sonoma Biotherapeutics
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 8, share 0.057, value outpatient specialty clinics, examples Radionetics Oncology, Alpha-9 Oncology, in 2018;, Armo Biosciences, count 3, share 0.021, value life sciences, examples Adverum Biotechnologies, Marcadia Biotech, Krystal Biotech, count 1, share 0.007, value miscellaneous manufacturing, examples Sonoma Biotherapeutics
141 companies on the graph (0 transactions); most in healthcare services (8); observed 1991 to 2025
Funds
5 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| F•••••• L••• S••••••• P••••• O•••••• F•••• L••• ADV: Hedge Fund | buyout or unlabelled | 2023 first reported on Form ADV | $281M as of Mar 30, 2024 | no Form D | Early deployment | |
| F•••••• L••• S••••••• P••••• F•••• L••• ADV: Hedge Fund | buyout or unlabelled | 2022 first reported on Form ADV | $900M as of Mar 30, 2024 | no Form D | Early deployment | |
| F•••••• L••• S••••••• X• L••• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $567M as of Mar 30, 2024 | no Form D | Unknown | |
| F•••••• H••••••••• V••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $56.6M as of Mar 30, 2024 | no Form D | Unknown | |
| F•••••• H••••••••• V••••• L••• ADV: Private Equity Fund | Feeder or parallel | 2022 first reported on Form ADV | $16.1M as of Mar 30, 2024 | no Form D | Unknown |
Team
70 current, 0 former
Managing partner (5)
- A••• F•••••• · Chairman Emeritus · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A••••• C•• · Managing Partner · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- A••••• C••• M•••• P•••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• N• T•••••• M•••• P•••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- P•••••• H•••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (14)
- A••••• K••••• P•••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A••• H• C•••• P•••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D••••• E•••• · General Partner · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D••••• E••••• P•••• · General Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• B•••• · General Partner & Portfolio Manager · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• B•••• · General Partner and Portfolio Manager · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• L•• M••• · Venture Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• T••••• · Member · since Jan 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•• C••••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•••• L•• M••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••••• P••••••• · Senior Manager, Portfolio Valuation/Analytics · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••• F•••••• P•••• · Venture Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- P•••••• H•••• · Member · since Jan 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S••••••• P•••• M•••• P•••• · Venture Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Principal (3)
- C••••••••• A••••• P•••• · Principal of Company Creation · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- L••••• M••••••• P•••• · Principal of Company Creation · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•••• C•••• · Director, Firm Administration · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (7)
- A•••• M•••••• P•••• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K••• W•••••••• M••• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- L•• M•• M•••• M•• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••• S••••• · Vice President of Company Creation · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N•••• S•••• M••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- X•••••• L•• P•••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- Z••••• O••••••• P•••• · Vice President of Company Creation · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Associate (2)
- R••• P••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S••• B••••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Operating partner (1)
- A••• S•••••• · Executive Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Investor relations (1)
- W•••• C•••• · Investor Relations Coordinator and Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (19)
- A•• J•••••• · Vice President and Counsel, P••••• Funds · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A••••• W••••• · Senior Tax Manager · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A••••• S•••• · Counsel, Venture Funds · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C•••• W•••••• · Director of Finance · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•• O••••••••• J••• · Chief Compliance Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D••••• J•••••• · Controller, P••••• Fund Accounting · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- G••••• E•••• · Partner, COO and General Counsel · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- H•••• K••• · Senior Manager, Trade Operations and Compliance · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- H•••• A•••••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••••• M••••• · Chief Financial Officer and Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• S••••••••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•• N••••••• · IT Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••••• C•••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N••••• C••••••• · Compliance Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N•••• N•••• · Controller, Venture Funds · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- O•••••• K••••••••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S••••••• B•••••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•• Y•••• · Vice President, Human Resources · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•••• R•• B••••• · Chief Financial Officer & Chief Compliance Officer · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Other (18)
- A•••• Y••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A•••• P••••••• · Senior Accountant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B••••••• P••••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••••• C••••••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•• B•••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••• R•••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••• A• I•••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C•••••••• S••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•• F••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- G••••• •••••• N••••• M•••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• B••••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•• W••••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•• M••• ••••••• Y• · Corporate Accountant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• S•••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••••• V•••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R••••• H••••••••• M•••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•••• U•••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- W• M•••••• G•••••••• P•••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Portfolio
141 relationships, 0 platforms, 0 add-ons
Showing 100 of 141 investments on this record. Private Equity Intelligence opens the rest of this record's rows.
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)
- X• C•••••• P•••••••• L•• 1 shared · one time · last Jan 1, 2022
LP commitments
2 disclosed
- N•• Y••• S•••• C••••• R••••••••• F••• in F•••••• L••• S••••••• P••••• F•••• L••• $170M osc.ny.gov
- N•• Y••• S•••• C••••• R••••••••• F••• in F•••••• L••• S••••••• P••••• O•••••• F•••• L••• $50.0M osc.ny.gov
Events
2 most recent
- Sep 10, 2026••• Locked
- Nov 18, 2021••• Locked
Across the graphs
F•••••• L••• S••••••• M••••••••• 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.
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