DFX Intelligence

Private Equity Intelligence

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Firms / I•••••• L••• M••••••• L••

I•••••• L••• M••••••• L••

Fund of funds · probableLower middle marketNew York, NYSEC registered investment adviser

Classification

Class: Fund of fundsprobable, confidence 75%
Basis: R1: 2 of 2 admitted vehicles carry the sworn fund-of-funds flag
Size band: Lower middle marketdefined by: proxy: $0.59bn Private Equity Fund GAV on the Form ADV filed 2024-11-26
Strategies: PRIVATE CREDIT

Classification history (1)

Sep 13, 2026
Fund of funds (probable, 75%, cls-pe-1)
R1: 2 of 2 admitted vehicles carry the sworn fund-of-funds flag

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Apr 28, 2020 to Nov 26, 2024
RAUM: $15Bregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 2
PE fund GAV, latest filing: $589Mreported gross assets (Form ADV), not fund size
All private fund GAV: $15Bevery private fund type, latest filing
2024 PE fund GAV: $589Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 6%
Fund type mix: filed 2024-11-26, latest gav Private Equity Fund $589M, Securitized Asset Fund $14B, latest counts Private Equity Fund 2, Securitized Asset Fund 30, lifetime distinct Private Equity Fund 2, Securitized Asset Fund 30
Employees: 91
Headquarters: New York, NY
Office address: 225 LIBERTY STREET, New York, NY, 10281
Business phone: 212 278-9000

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

2 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
I•••••• C•• E••••• F••• I• L• ADV: Private Equity Fund	Fund of funds	2022 first reported on Form ADV	$172M as of Nov 26, 2024		no Form D	Early deployment
I•••••• C•• E••••• F••• 3• L••• ADV: Private Equity Fund	Credit fund	unknown	$417M as of Nov 26, 2024		no Form D	Active deployment

Team

1 current, 1 former

Platform (1)

J••••• E••• L•••• · Chief Compliance Officer · since Feb 1, 2021 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)

T••• M••• M•••••• · Chief Compliance Officer · Jan 1, 2020 to Feb 1, 2021 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)

I•••••• D••••••••• I••• 2 shared · recurring · last Jan 1, 2022

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

1 most recent

Apr 28, 2020
I•••••• L••• M••••••• L•• first filed Form ADV in the extract (IA)
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

Freshness96 · HIGH: as of: 2026-09-21items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9555555555555556,"evidence":"8 method: sum of component points, capped at 1.0
model score-pe-1
Research priority43 · MODERATE: as of: 2026-09-21items: [{"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: 2026-09-21items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-21items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness33 · MODERATE: as of: 2026-09-21items: [{"code":"FIELDS_PRESENT","points":0.3333333333333333,"evidence":["funds","team"method: sum of component points, capped at 1.0
missing: website, description, partners, portfolio, transactions, stated criteria, lenders, lps
model score-pe-1
Fund deployment activity70 · ELEVATED: as of: 2026-09-21items: [{"code":"FUNDS_DEPLOYING","points":0.7,"caution":"deployment state is read frommethod: 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: 8 days ago
Observations: 22
Sources: 2
Open research tasks: 2

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

I•••••• L••• M••••••• L•• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.

Independent Sponsors1RIA 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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