DFX Intelligence

Private Equity Intelligence

Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.

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Firms / P••••••••• A•••••••

P••••••••• A•••••••

Buyout firmLower middle marketNew York, NYp•••••••••.comSEC registered investment adviser

Classification

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 15 of 27 distinct vehicles are sworn Private Equity Funds; 12 reported gross assets on a filing in 2022 or later
Size band: Lower middle marketdefined by: proxy: $0.11bn Private Equity Fund GAV on the Form ADV filed 2024-08-08
Strategies: PRIVATE CREDIT

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 15 of 27 distinct vehicles are sworn Private Equity Funds; 12 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Mar 30, 2012 to Aug 8, 2024
RAUM: $9.7Bregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 9
PE fund GAV, latest filing: $115Mreported gross assets (Form ADV), not fund size
All private fund GAV: $9.6Bevery private fund type, latest filing
2024 PE fund GAV: $115Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 56%
Fund type mix: filed 2024-08-08, latest gav Hedge Fund $8.8B, Other Private Fund $11.0M, Private Equity Fund $115M, Venture Capital Fund $687M, latest counts Hedge Fund 5, Other Private Fund 4, Private Equity Fund 9, Venture Capital Fund 2, lifetime distinct Hedge Fund 5, Other Private Fund 5, Private Equity Fund 15, Venture Capital Fund 2
Employees: 46
Headquarters: New York, NY
Office address: 51 ASTOR PLACE, 10TH FLR, New York, NY, 10003
Business phone: 646-205-5300

Stated criteria beside observed behaviour

7 observed deals

Stated by the firm

Sectors: healthcare, 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: When we invest in an idea, we’re all in: improving lives through science is our passion, because long-term value extends beyond numbers.

Observed from deals on record

roles: unknown 4, minority 3
period: to 2026-09-03, from 2026-02-12, undated holdings 4, dated observations 3
window: last unknown, first unknown
control: unknown 4, minority 3
companies: 7
geography: count 1, share 0.143, value MA
investments: 7
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

7 companies on the graph (0 transactions); observed 2026 to 2026

Funds

23 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
P• V•••••• ••• L•• ADV: Private Equity Fund	buyout or unlabelled	2024 first reported on Form ADV	$3.9M as of Aug 8, 2024	no Form D	Unknown
P••••••••• D•••••••• F••• a• L• ADV: Private Equity Fund	buyout or unlabelled	2024 first reported on Form ADV	$0 as of Aug 8, 2024	no Form D	Unknown
P••• P•••••• I• A•• I••• L• ADV: Other Private Fund	Feeder or parallel	2024 first reported on Form ADV	$0 as of Aug 8, 2024	no Form D	Unknown
P••••••••• D•••••••• F••• L• ADV: Private Equity Fund	buyout or unlabelled	2024 first reported on Form ADV	$0 as of Aug 8, 2024	no Form D	Unknown
P••••••••• S• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$3.9M as of Aug 8, 2024	no Form D	Early deployment
P••••••••• S• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$2.7M as of Mar 30, 2023	no Form D	Wound down
P• V•••••• ••• L•• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$416,383 as of Aug 8, 2024	no Form D	Unknown
P••••••••• S• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$7,500 as of Aug 8, 2024	no Form D	Unknown
P••• E• A•• I•• L• ADV: Other Private Fund	Feeder or parallel	2022 first reported on Form ADV	$0 as of Aug 8, 2024	no Form D	Unknown
P••• H••••••• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$0 as of Sep 13, 2022	no Form D	Wound down
P••••••••• S• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$1.5M as of Mar 30, 2023	no Form D	Wound down
L•• L• H•••••••• L• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$97.8M as of Aug 8, 2024	no Form D	Active deployment
P••••••••• S• ••• L• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$26.9M as of Mar 30, 2023	no Form D	Wound down
P••• E• A•• I••• L• ADV: Other Private Fund	Feeder or parallel	2020 first reported on Form ADV	$7.0M as of Aug 8, 2024	no Form D	Successor fundraising
P••••••••• L• ••• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$6.8M as of Aug 8, 2024	no Form D	Active deployment
P••• E• A•• I•• L• ADV: Other Private Fund	Feeder or parallel	2020 first reported on Form ADV	$4.0M as of Aug 8, 2024	no Form D	Harvest
P• V•••••• ••• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$2.1M as of Aug 8, 2024	no Form D	Active deployment
P••• E• A••• L• ADV: Other Private Fund	Feeder or parallel	2020 first reported on Form ADV	$336,553 as of Sep 13, 2022	no Form D	Wound down
P••••••••• C••••• O••••••••• F••• I•• L• ADV: Hedge Fund	Credit fund	2018 first reported on Form ADV	$540M as of Aug 8, 2024	no Form D	Mature
P••••••••• X•••••••• V•••••• F•••• L• ADV: Venture Capital Fund	buyout or unlabelled	2018 first reported on Form ADV	$179M as of Aug 8, 2024	no Form D	Harvest
P••••••••• C••••• O••••••••• F••• Q•• L• ADV: Private Equity Fund	Credit fund	2017 first reported on Form ADV	$538,085 as of Sep 13, 2022	no Form D	Wound down
P••• P•••••• I• F•••• L• ADV: Hedge Fund	buyout or unlabelled	2016 first reported on Form ADV	$207M as of Aug 8, 2024	no Form D	Harvest
P••••••••• C••••• O••••••••• F•••• L• ADV: Private Equity Fund	Credit fund	2015 first reported on Form ADV	$1.7M as of Sep 13, 2022	no Form D	Wound down

Team

4 current, 0 former

Managing partner (1)

J••••• E••• E•••••• · Chief Executive Officer And Portfolio Manager · since Dec 1, 2000 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (3)

A•••••••• R•••••• · Chief Compliance Officer · since Oct 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
J•••• H•••• M••••• · Chief Operating Officer · since Dec 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
P•••• W•••••• F••••• · Chief Financial Officer · since Jul 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Portfolio

7 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
S••••••••• M••••••••• I•••	Minority	active	Sep 3, 2026 venture round	1 months	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
V•••••• T•••••••••	Minority	active	Aug 11, 2026 venture round	1 months	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
T••••••••	Minority	active	Feb 12, 2026 venture round	7 months	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
C••• S•••• B•••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
P••••••••• C••••• O••••••••• F•••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
P••••••••• L••• S••••••• F•••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
P••••••••• X•••••••• V•••••• F•••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)

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

5 relationships

Placement agents (5)

J•••••••• L•• 4 shared · strong · last Jan 1, 2020
F••••• C•••• S••••••••• L•• 2 shared · recurring · last Jan 1, 2020
O•• C••• S••••••••• L•• 2 shared · recurring · last Jan 1, 2020
A••••• F•••• • C••••••• L•• 1 shared · one time · last Jan 1, 2018
C•••••• A•••• M••••••••• 1 shared · one time · last Jan 1, 2015

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

Jul 13, 2026
P••••••••• A•••••••: Private Equity Funds on Form ADV 9 (2024 extract) -> 5 (roster 2026-09-01)
Pe fund count changedFactSEC Form ADV monthly roster (registered + exempt reporting advisers)
Mar 30, 2012
P••••••••• A••••••• 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

Freshness99 · HIGH: as of: 2026-09-19items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9888888888888889,"evidence":"2 method: sum of component points, capped at 1.0
model score-pe-1
Research priority47 · MODERATE: as of: 2026-09-19items: [{"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: 2026-09-19items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite25 · MODERATE: as of: 2026-09-19items: [{"code":"RECENT_FUND","points":0.2,"caution":"a recent fund is evidence of deplmethod: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness67 · ELEVATED: as of: 2026-09-19items: [{"code":"FIELDS_PRESENT","points":0.6666666666666666,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, transactions, lenders, lps
model score-pe-1
Fund deployment activity85 · HIGH: as of: 2026-09-19items: [{"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)
Venture Capital Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: 2 days ago
Observations: 31
Sources: 3
Open research tasks: 1

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

P••••••••• A••••••• is the same institution as 4 records in Venture Capital, Independent Sponsors, RIA and Wealth and Private Credit.

Venture Capital1Independent 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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