DFX Intelligence
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S••• M••••••• F••• M••••••••• L••
Private credit managerClassification probableMiddle marketSEC registered investment adviser· New York, NYs•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $4.2B
- PE fund assets
- $3.3B
- PE funds
- 22
- Investments held
- 7 of 11
- 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
- EBITDA up to $50.0MRevenue from $15.0MGeography United States
- Graphs 3
- Placement agents 27
Classification
How this organization is classified, and on what basisPrivate credit manager · 1 in historyShowHide
- Class
- Private credit managerprobable, confidence 70%
- Basis
- R2: 4 of 7 private equity vehicles are named credit
- Size band
- Middle marketdefined by: proxy: $3.26bn Private Equity Fund GAV on the Form ADV filed 2024-03-29
- Strategies
- PRIVATE CREDIT
Classification history (1)
- Sep 13, 2026Private credit manager (probable, 70%, cls-pe-1)R2: 4 of 7 private equity vehicles are named credit
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Oct 26, 2012 to Mar 31, 2026
- RAUM
- $4.2Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 22
- PE fund GAV, latest filing
- $3.3Breported gross assets (Form ADV), not fund size
- All private fund GAV
- $2.8Bevery private fund type, latest filing
- 2024 PE fund GAV
- $3.6Bsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-29, latest gav Private Equity Fund $3.3B, latest counts Private Equity Fund 17, lifetime distinct Private Equity Fund 21
- Employees
- 69
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
11 observed deals
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- United States
- Revenue
- from $15.0M
- EBITDA
- up to $50.0M
- 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 11
- period
- to unknown, from unknown, undated holdings 11, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 11
- companies
- 11
- geography
- investments
- 11
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 0
- disclosed value usd
- n 0
- sector distribution
- holding period years
- n 0
- repeat counterparties
- subsector distribution
11 companies on the graph (0 transactions); no dated observations
Funds
19 on record, 1 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••• M••••••• S•••••••• C••••• I••••• F••• V• L• ADV: P•••••• Equity Fund | Credit fund | 2024 first reported on Form ADV | $202M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• W••••••• C••••••••• P•••••••• L• ADV: P•••••• Equity Fund | Co-investment vehicle | 2024 first reported on Form ADV | $70.3M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• P••••••• F••• I•• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2024 first reported on Form ADV | $24.5M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• L•••• M••••••••• C•••••• C•••• ADV: P•••••• Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $342M as of Jan 3, 2024 | no Form D | Wound down | |
| S••• M••••••• S•••••••• C••••• I••••• F••• I•• L• ADV: P•••••• Equity Fund | Credit fund | 2022 first reported on Form ADV | $1.1B as of Mar 29, 2024 | no Form D | Early deployment | |
| S••• M••••••• S••• F•••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $305M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• U••• L•••• M••••••••• S•••••••• F••• I•• L• ADV: P•••••• Equity Fund | Fund of funds | 2021 first reported on Form ADV | $281M as of Mar 29, 2024 | no Form D | Active deployment | |
| S••• M••••••• P••••••• F••• I••• L•• ADV: P•••••• Equity Fund | Fund of funds | 2021 first reported on Form ADV | $60.8M as of Mar 29, 2024 | no Form D | Active deployment | |
| S••• M••••••• C••••• O••••••••• F•••• L• ADV: P•••••• Equity Fund | Credit fund | 2020 first reported on Form ADV | $72.9M as of Mar 31, 2021 | no Form D | Wound down | |
| S••• M••••••• D••••••••• C••••• I••••• F••• I••• L• ADV: P•••••• Equity Fund | Credit fund | 2019 first reported on Form ADV | $713M as of Mar 29, 2024 | no Form D | Successor fundraising | |
| S••• M••••••• D••••••••• S•••• B••••••• A••••• F••• I•••• L• ADV: P•••••• Equity Fund | Fund of funds | 2018 first reported on Form ADV | $57.5M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• P••••••• F••• I•• L•• ADV: P•••••• Equity Fund | Fund of funds | 2017 first reported on Form ADV | $15.5M as of Mar 29, 2024 | no Form D | Mature | |
| S••• M••••••• D••••••••• S•••• B••••••• A••••• F••• I•• L• ADV: P•••••• Equity Fund | Fund of funds | 2015 first reported on Form ADV | $120M as of Mar 29, 2024 | no Form D | Harvest | |
| S••• M••••••• • S• C••••••••• P•••••••• L• ADV: P•••••• Equity Fund | Fund of funds | 2015 first reported on Form ADV | $36.8M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• S•• M••••••••• C••••• P•••••••• L• ADV: P•••••• Equity Fund | Fund of funds | 2014 first reported on Form ADV | $94.7M as of Mar 29, 2024 | no Form D | Harvest | |
| S••• M••••••• • P• S•••• B••••••• C••••••••• P•••••••• L• ADV: P•••••• Equity Fund | Fund of funds | 2014 first reported on Form ADV | $74.5M as of Mar 29, 2024 | no Form D | Harvest | |
| S••• M••••••• • P• S•••• B••••••• C••••••••• P••••••• I•• L• ADV: P•••••• Equity Fund | Fund of funds | 2014 first reported on Form ADV | $15.3M as of Mar 29, 2024 | no Form D | Mature | |
| S••• M••••••• S••• F••• P•••••••• L•• ADV: P•••••• Equity Fund | Fund of funds | 2014 first reported on Form ADV | $12.8M as of Mar 29, 2024 | no Form D | Unknown | |
| S••• M••••••• S••••••• F•••• L• ADV: P•••••• Equity Fund | Fund of funds | unknown | $3.0M as of Mar 25, 2014 | no Form D | Unknown |
Gross assets by year from the annual reporting tape
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| W•• S• P•••••• C••••• O••••••••• L•• | P•••••• Equity Fund | 2024 to 2024 | $49.9M filed Mar 29, 2024 | adviserinfo.sec.gov |
Team
5 current, 7 former
Partner (2)
- B•••• A•••• H••••• · Owner · since Dec 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••••• B•••• P•••• · Managing Director & Chief Credit Officer · since Mar 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (3)
- A••••• S•••• E•••••• · Chief Compliance Officer & Legal Counsel · since Nov 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C••••••••• J••• G•••••• · Chief Financial Officer · since Sep 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• W•••••• P•••• · Chief Operating Officer & Chief Technology Officer · since Jan 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
7 former (kept with end dates)
- G••••• N•••••••• M•••••• · President · Feb 1, 2023 to Oct 10, 2023 Inference
- R••••• W•••••• L••• · Vice Chairman · Jan 1, 2016 to Jul 18, 2017 Inference
- R•••••• L••• K•••• · S••••• Managing Director · Aug 1, 2012 to Mar 25, 2014 Inference
- E••••• S•••• N•••• · General Counsel & Chief Compliance Officer · May 1, 2013 to Mar 25, 2014 Inference
- J••••• S•••• B•••• · Chief Compliance Officer · Jul 1, 2016 to Nov 7, 2022 Inference
- L•• B••••••••• · Chief Risk Officer And Chief Compliance Officer · Jan 1, 2013 to Jul 27, 2016 Inference
- L••• J••• L•••••• · General Counsel & Chief Compliance Officer · Sep 1, 2012 to Mar 7, 2013 Inference
Portfolio
11 relationships, 0 platforms, 0 add-ons
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
27 relationships
Placement agents (27)
- C••••• P•••• P••••••• L•• 9 shared · very strong · last Jan 1, 2024
- T••••••••• C•••••• G•••• S• 7 shared · very strong · last Jan 1, 2024
- I••••••••• A••••••••• A• 6 shared · very strong · last Jan 1, 2024
- A••••••••• C•••••• S••••••••• L•• 6 shared · very strong · last Jan 1, 2024
- W••••••••• C••••••••• G••• 6 shared · very strong · last Jan 1, 2024
- A••••• S••••••••• L•• 5 shared · very strong · last Jan 1, 2022
- F•••••••• C•••••• P••••••• F• L•• 5 shared · very strong · last Jan 1, 2024
- S••••• L••• P•••••••• L•• 5 shared · very strong · last Jan 1, 2022
- O•••••• P••••••• L•••••• 4 shared · strong · last Jan 1, 2024
- W•••••••• S••••••••• L•• 4 shared · strong · last Jan 1, 2024
- R•••••• F••••• O••••• I••• 4 shared · strong · last Jan 1, 2021
- B•••• I••• C•••••• P••••••• 4 shared · strong · last Jan 1, 2024
- U••••• W••••• M••••••••• I••• 4 shared · strong · last Jan 1, 2021
- M•••• C•••••• C•••• 4 shared · strong · last Jan 1, 2024
- C••••••••• A•••••••• I••• 3 shared · strong · last Jan 1, 2022
- K••• S••••••••• A•••••• I••• 3 shared · strong · last Jan 1, 2021
- B•• S••••••••• L•• 2 shared · recurring · last Jan 1, 2021
- E••••••• G•••• L••••• 2 shared · recurring · last Jan 1, 2019
- L••• A•• C•••••• P••••••• 2 shared · recurring · last Jan 1, 2022
- S••••••••• L•• 2 shared · recurring · last Jan 1, 2022
- P•••••• F••• M••••••••• L••••• 1 shared · one time · last Jan 1, 2012
- G•••••••• I••••••••• G••••• L•• 1 shared · one time · last Jan 1, 2016
- A•• F•••••••• G••••• L•• 1 shared · one time · last Jan 1, 2013
- C••••••• C•••••• C•••• 1 shared · one time · last Jan 1, 2012
- R•••••• J•••• • A••••••••• I••• 1 shared · one time · last Jan 1, 2023
- B•••••••• G••••• A••••••• L• 1 shared · one time · last Jan 1, 2019
- M•••••• C•••••• M••••••••• L•• 1 shared · one time · last Jan 1, 2014
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 31, 2026••• Locked
- Oct 26, 2012••• Locked
Across the graphs
S••• M••••••• F••• M••••••••• 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.
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