DFX Intelligence
Private Equity Intelligence
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Firms / R••••• A•••••••• L••
R••••• A•••••••• L••
Classification
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 1 of 46 distinct vehicles; hedge, securitized or liquidity vehicles 45
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 1 of 46 distinct vehicles; hedge, securitized or liquidity vehicles 45
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 29, 2012 to Jun 22, 2023
- RAUM
- $489Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- $328Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 2%
- Fund type mix
- filed 2023-06-22, latest gav Hedge Fund $328M, latest counts Hedge Fund 8, lifetime distinct Hedge Fund 45, Private Equity Fund 1
- Employees
- 31
- Headquarters
- New York, NY
- Office address
- 599 LEXINGTON AVE., 20TH FLOOR, New York, NY, 10022
- Business phone
- 646-562-1010
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- not stated or not yet read
- 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
- not stated or not yet read
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
1 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| R•• I• R••••••• S••• ADV: Private Equity Fund | buyout or unlabelled | 2016 first reported on Form ADV | $10.7M as of Mar 30, 2020 | no Form D | Harvest |
Team
4 current, 5 former
Platform (3)
- A••••• P•••• L••••••••• · Chief Compliance Officer · since Aug 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• D•••• R••• · Chief Financial Officer, C•••• Investment Management Llc · since Aug 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• G• B•••••• · Chief Operating Officer And General Counsel, C•••• Investment Management Llc · 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)
Other (1)
- E•••••••• R••••• R••••• · Head Of Investment Management, C•••• Investment Management Llc · since Aug 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
5 former (kept with end dates)
- M•••••• E••• S••••• · Chief Executive Officer · Dec 1, 2012 to Mar 30, 2017 Inference
- T••••• W•••• S•••••• · Chairman, C•••• Investment Management Llc · Dec 1, 2012 to Mar 29, 2019 Inference
- F••• S••••• F••••••• · Interim Head Of Investment Management, C•••• Investment Management Llc · Jan 1, 2017 to Mar 29, 2019 Inference
- A••••• J••• S••••• · Chief Compliance Officer, C•••• Investment Management Llc · Sep 1, 2011 to Jan 12, 2023 Inference
- S•••••• L••••• · Chief Financial Officer · Feb 1, 2008 to Mar 18, 2016 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
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
- Sep 1, 2026Adviser CRD 110806 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Mar 29, 2012R••••• A•••••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
R••••• A•••••••• L•• is the same institution as 2 records in RIA and Wealth and Private Credit.
RIA 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.
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