DFX Intelligence
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P••• A••••••• G••••• L••
Hybrid managerClassification probableLower middle marketSEC registered investment adviser· Los Angeles, CA
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $13B
- PE fund assets
- $110M
- PE funds
- 1
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Sectors financial_services
- Graphs 3
- Placement agents 1
Classification
How this organization is classified, and on what basisHybrid manager · 2 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- Private Equity Funds are 1 of 17 distinct vehicles; hedge, securitized or liquidity vehicles 9
- Size band
- Lower middle marketdefined by: proxy: $0.11bn Private Equity Fund GAV on the Form ADV filed 2026-05-05
Classification history (2)
- Sep 23, 2026Hybrid manager (probable, 65%)Private Equity Funds are 1 of 17 distinct vehicles; hedge, securitized or liquidity vehicles 9
- Sep 13, 2026Fund of funds (probable, 75%)1 of 1 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- Registered investment adviser
- Form ADV filings
- Mar 29, 2012 to May 5, 2026
- RAUM
- $13Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $110Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $3.9Bevery private fund type, latest filing
- 2024 PE fund GAV
- $110Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 6%
- Fund type mix
- Securitized asset fund: 7 funds, $2.7B reported gross assets
- Other private fund: 3 funds, $979M reported gross assets, 7 ever reported
- Hedge fund: 1 fund, $138M reported gross assets, 2 ever reported
- Private equity fund: 1 fund, $110M reported gross assets
- Employees
- 50
- Headquarters
- Los Angeles, CA
- 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
- 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
3 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| P••• C•• E••••• M••••• F•••• L• ADV: Private Equity Fund | Fund of funds | 2021 Form D first sale | $110M as of May 5, 2026 | $124M | Active deployment | |
| P••• C•• E••••• O••••••• F•••• L• | Credit fund | 2021 Form D first sale | unknown | no reporting | $110M | Unknown |
| P••• C•• E••••• O•••••• F•••• L• | Credit fund | 2021 Form D first sale | unknown | no reporting | $13.2M | Unknown |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: Investment organization websites (team, portfolio, strategy, criteria, news); SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
29 current, 20 former
Partner (13)
- A••••• B••• · A••••• B•••, Managing Director · start date unknown Firm website
- A••••• M••••• · A••••• M•••••, Managing Director, Portfolio Manager, Gateway Credit Partner · start date unknown Firm website
- D•• R••• · D•• R•••, Managing Director, Portfolio Manager and Gateway Credit Partner · start date unknown Firm website
- D•••• D•••• K•• · Deputy Chief Investment Officer & Director · since Jan 1, 2020 Form ADV Firm website
- I••• S••• · I••• S•••, Managing Director, Portfolio Manager and Gateway Credit Partner · start date unknown Firm website
- J•••• W••• · J•••• W•••, Managing Director, Portfolio Manager, Gateway Credit Partner · start date unknown Firm website
- J•••••• M••• S••••• · Chief Investment Officer · since Dec 1, 2019 Form ADV
- M•••••• P••••• · Managing Director, Senior Trader · start date unknown Firm website
- N••••• F•••• C•• · N••••• F•••• C•• Managing Director — Trading · start date unknown Firm website
- P•••• K•• · P•••• K••, Managing Director · start date unknown Firm website
- R•••••• L•• · R•••••• L••, Managing Director · start date unknown Firm website
- S••••••• H•••• · S••••••• H••••, Managing Director, Portfolio Manager and Gateway Credit Partner · start date unknown Firm website
- T• S••••• · T• S•••••, Client Portfolio Manager · start date unknown Firm website
Principal (9)
- C••••••••• J•••• R•••• · Director · since Apr 1, 2020 Form ADV
- E••• C•••••• C•• · E••• C•••••• C••, Director · start date unknown Firm website
- J••• H•••••• · Director · since Mar 1, 2014 Form ADV
- K•••• B••••• · Director · since Dec 1, 2020 Form ADV
- K••• M•••• H•••••••• · Director · since Jun 1, 2020 Form ADV
- P•••••• G•••••• H••••• · Director · since Sep 1, 2017 Form ADV
- S•••• M• S••••• · Director · since Jul 1, 2018 Form ADV
- T•••• K••••••••• C•• · T•••• K••••••••• C••, Director — CLO Optimization Analyst · start date unknown Firm website
- Y••• K••••••• · Director · since Mar 1, 2023 Form ADV
Vice president (2)
- A••••• J••••••••• C•• · A••••• J••••••••• C••, Vice President, Portfolio Analytics · start date unknown Firm website
- N••••• W• · N••••• W•, Vice President · start date unknown Firm website
Associate (1)
- M•••••• P••••••••• · M•••••• P•••••••••, Associate - Portfolio Analyst · start date unknown Firm website
Platform (4)
- D•••••• A•• F••••••••• · Chief Operations Officer And Director · since Mar 1, 2022 Form ADV
- K••• F••• · Chief Technology Officer · since Mar 1, 2016 Form ADV
- M•••••• E••••• O••••• · Chief Compliance Officer · since May 1, 2023 Form ADV
- Y••••• Y•••• · Chief Financial Officer · since Oct 1, 2011 Form ADV
20 former (kept with end dates)
- J•••• P•••••• M•••••••• · Chairman · Mar 1, 2014 to Mar 29, 2019 Inference
- Y••••••• S••••• · Director (President & Ceo N••••• L••• Americas Inc.) · Mar 1, 2022 to Jun 23, 2023 Inference
- L••••••• A••• P••• · Chairman & Chief Investment Officer · Aug 1, 2000 to Mar 27, 2014 Inference
- A••••• J••• D•••••• · Chief Compliance Officer · Jul 1, 2021 to Sep 22, 2022 Inference
- D•••••• D••••• C••• · Chief Compliance Officer · Aug 1, 2013 to Feb 8, 2017 Inference
- H•••• E••• W••• · Chief Operationg Officer · Aug 1, 2015 to Oct 20, 2016 Inference
- J••••• T••••• L•••• · Chief Compliance Officer · Sep 1, 2022 to Jun 23, 2023 Inference
- K••• J•••• · Chief Compliance Officer · Jan 1, 2019 to Jul 23, 2021 Inference
- M•••• A••••• I••••••••• · Chief Compliance Officer · Jan 1, 2017 to Apr 30, 2018 Inference
- R••••• E• F•••• · Chief Operating Officer · Jan 1, 2019 to Mar 22, 2021 Inference
- S••••• P•••••• · Chief Operating Officer · Aug 1, 2009 to Mar 27, 2014 Inference
- D••••• S•••••• · Director · Mar 1, 2015 to Jun 21, 2017 Inference
- E•••• W• S•••••• · Director · Mar 1, 2014 to Mar 31, 2016 Inference
- G••••• M•••••• J••••••••• · Director · Mar 1, 2014 to Mar 10, 2020 Inference
- H•••• J•• C••••• · Director · Mar 1, 2014 to Mar 10, 2020 Inference
- J•• S••• · Director · Mar 1, 2021 to Sep 22, 2022 Inference
- K•••• E•••••••• S•••• · Director · Feb 1, 2016 to Mar 22, 2021 Inference
- M•••••••• K•••••••• · Director · Jan 1, 2018 to Jul 23, 2021 Inference
- T•••••• M••• D••••• · Director · Sep 1, 2018 to Mar 22, 2021 Inference
- Y••••• I••••••• · Director · May 1, 2013 to Mar 22, 2018 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)
- X•• C•••••• P•••••••• L•• 3 shared · strong · last Apr 23, 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
2 most recent
- Mar 30, 2022••• Locked
- Mar 29, 2012••• Locked
Across the graphs
P••• A••••••• G••••• L•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Private Credit.
Independent Sponsors1RIA and Wealth1Private Credit1
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…
Not yet on record: investments held, deals, last 12 months.