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 / H••• S••••••••• •••• I•••

H••• S••••••••• •••• I•••

Venture firm with private equity activity · probableLower middle marketNew York, NYwebsiteSEC registered investment adviser

Classification

Class: Venture firm with private equity activityprobable, confidence 70%
Basis: R1c: the venture graph classifies the same adviser CORPORATE_VENTURE
Size band: Lower middle marketdefined by: proxy: $0.09bn Private Equity Fund GAV on the Form ADV filed 2024-12-20
Strategies: PRIVATE CREDIT

Classification history (2)

Sep 13, 2026
Venture firm with private equity activity (probable, 70%, cls-pe-2)
R1c: the venture graph classifies the same adviser CORPORATE_VENTURE
Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 12 of 20 distinct vehicles are sworn P•••••• Equity Funds; 11 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 Dec 20, 2024
RAUM: $3.0Bregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 8
PE fund GAV, latest filing: $90.6Mreported gross assets (Form ADV), not fund size
All private fund GAV: $90.6Mevery private fund type, latest filing
2024 PE fund GAV: $90.6Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 60%
Fund type mix: filed 2024-12-20, latest gav Real Estate Fund 0, Private Equity Fund $90.6M, latest counts Real Estate Fund 1, Private Equity Fund 8, lifetime distinct Real Estate Fund 7, Private Equity Fund 12, Securitized Asset Fund 1
Employees: 507
Headquarters: New York, NY
Office address: 66 HUSDSON BOULEVARD EAST, New York, NY, 10001
Business phone: 212-525-2879

Stated criteria beside observed behaviour

16 observed deals

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

roles: unknown 16
period: to unknown, from unknown, undated holdings 16, dated observations 0
window: last unknown, first unknown
control: unknown 16
companies: 16
geography
investments: 16
seller kinds
transactions: 0
cadence by year
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 1
disclosed value usd: n 0
sector distribution: count 1, share 0.062, value financial services, examples Private Bank
holding period years: n 0
repeat counterparties
subsector distribution: count 1, share 0.062, value financial services, examples Private Bank

16 companies on the graph (0 transactions); most in financial services (1); no dated observations

Funds

12 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
H••• P•••••• E••••• I•••••••• C••••• L••• ADV: P•••••• Equity Fund	Fund of funds	unknown	$42.7M as of Dec 20, 2024	no Form D	Unknown
H••• L•••• A•••••• P•••••• E••••• I•••••••• L••• ADV: P•••••• Equity Fund	Fund of funds	unknown	$24.1M as of Dec 20, 2024	no Form D	Harvest
H••• P•••••• E••••• F••• P••••••• U•• L••• ADV: P•••••• Equity Fund	Fund of funds	unknown	$18.4M as of Feb 27, 2023	no Form D	Wound down
H••• L•••• A••••••• C••••••••• P•••••••• L••• ADV: P•••••• Equity Fund	Co-investment vehicle	unknown	$13.4M as of Dec 20, 2024	no Form D	Harvest
H••• L•••• A•••••• F••• P••••••• L••• ADV: P•••••• Equity Fund	Fund of funds	unknown	$8.7M as of Feb 27, 2023	no Form D	Wound down
H••• P•••••• E••••• A••••• F•••• L••• ADV: P•••••• Equity Fund	Fund of funds	unknown	$5.2M as of Dec 20, 2024	no Form D	Mature
H••• L•••• A•••••• I••••••••• F••• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	unknown	$2.6M as of Dec 20, 2024	no Form D	Harvest
H••• L•••• A•••••• P••••••• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	unknown	$1.7M as of Dec 20, 2024	no Form D	Harvest
H••• P•••••• E••••• P••••••• I• U•• L••• ADV: P•••••• Equity Fund	Buyout fund	unknown	$773,823 as of Dec 20, 2024	no Form D	Harvest
H••• M•••••••• P••••••• U••• L••• ADV: P•••••• Equity Fund	Credit fund	unknown	$722,235 as of Mar 14, 2022	no Form D	Wound down
H••• E••••• P••••••• U••• L••• ADV: P•••••• Equity Fund	Buyout fund	unknown	$38,954 as of Dec 20, 2024	no Form D	Harvest
H••• U•• R•••••• I•••••••• I• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	unknown	$0 as of Jan 8, 2015	no Form D	Unknown

Team

8 current, 36 former

Managing partner (1)

J•••• R••• H•••••••• · President/Ceo/Director · since Oct 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Principal (2)

O••••• M•••• · Director · 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)
S••• F••• B•••••••• · Director · since Oct 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Operating partner (1)

J••• F•••••• · Head Of Operations/Principal Operations Officer · since Feb 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (4)

I•• G• S••• · Managing Director, Head Of Us Wpb Compliance And Chief Compliance Officer Of Ria · since Jan 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
J••• W•••••• · Chief Compliance Officer - Bd · since May 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
S••• B••••• · General Counsel · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
T••••• C• C••••••• · Chief Financial Officer/Principal Financial Officer · since Jun 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

36 former (kept with end dates)

A•••• G•••••••• B•••••• · President/Ceo/Director · Jan 1, 2019 to Oct 9, 2020 Inference
D••••• D••••••• · President/Ceo/Director · Apr 1, 2015 to Sep 4, 2015 Inference
G••••• M••••• · President/Ceo/Director · Oct 1, 2018 to Jan 14, 2019 Inference
P•••••• M•••••• M• N•••• · President/Ceo/Director · May 1, 2011 to Apr 13, 2015 Inference
T•••••• M• R••••• · President/Ceo/Director · Sep 1, 2015 to Aug 9, 2018 Inference
M•••••• J••• I•• F••••••• · Head Of Operations/Chief Operating Officer/Principal Operations Officer · May 1, 2011 to Mar 14, 2022 Inference
D•••• D••••• J• M•••• · Managing Director, Deputy Head Of B•••ing, Lam - Investment Adviser · Mar 1, 2012 to Oct 19, 2018 Inference
A•••••• M•••••• V•••• · Chief Compliance Officer/Director · Jan 1, 2014 to Jun 12, 2015 Inference
C••••••••• R•••••• O•••••••• · Chief Compliance Officer/Director/Head Of Compliance Global B•••ing And M••••••, N•••• A•••••• · Oct 1, 2012 to Jan 27, 2014 Inference
F•••• J• W•••••• · General Counsel · Oct 1, 2016 to May 22, 2017 Inference
F•••• J••••• W•••••• · General Counsel · Oct 1, 2016 to Nov 11, 2021 Inference
G••••• I••••• M•••• · Chief Compliance Officer - Bd · Jul 1, 2015 to Aug 9, 2018 Inference
J•••• L•••• S•••• · Head Of Wealth Management Compliance/Cco Registered Investment Advisor · Jun 1, 2015 to Sep 4, 2015 Inference
J••• H•••• R••••••• · Chief Compliance Officer - Investment Adviser · Aug 1, 2015 to Jan 2, 2024 Inference
M••• A•••• S••••••••• · General Counsel · Apr 1, 2010 to Nov 2, 2016 Inference
M•••••• C•••• C••••• · Reg Gbm Coo B•••ing A••••••s - Investment Adviser · Dec 1, 2012 to Nov 20, 2017 Inference
N••••••• M••••••• S••••• · Chief Compliance Officer - Bd · Jun 1, 2018 to Jun 4, 2024 Inference
R••••• S••••• M•••••••• · Chief Compliance Officer · Jun 1, 2015 to Sep 4, 2015 Inference
S••••• N••••••• L••••••• · Chief Financial Officer/Principal Financial Officer · Dec 1, 2014 to Jun 28, 2023 Inference
S•••••• M• C••• · Treasurer · Dec 1, 2014 to Feb 17, 2017 Inference
T•••••• M•••••• · Chief Financial Officer · Nov 1, 2006 to Dec 17, 2014 Inference
A••••• A•• V•••••• M••••••• · Director · Dec 1, 2014 to Aug 28, 2018 Inference
A••••• D•••• I•••••• · Director · Jun 1, 2014 to Feb 27, 2017 Inference
B•••• C• S••••• · Director · Aug 1, 2018 to Aug 29, 2022 Inference
D•••• I• F••••• · Director · Jun 1, 2015 to Sep 27, 2017 Inference
G•••••• T•••••• P••••• · Director/Regional Business Head · Sep 1, 2015 to Oct 4, 2019 Inference
J•••• P•••••• K•••• · Director · Jun 1, 2014 to Aug 24, 2016 Inference
J•• R••••• B••••••• · Director · Sep 1, 2010 to Oct 22, 2012 Inference
M•••• O•••••• · Director · Aug 1, 2020 to Dec 18, 2023 Inference
M••• A••••• P•••••• · Director, Head Of Gpb A••••••s, Us Wealth, Sales And Distribution · Oct 1, 2020 to Dec 20, 2024 Inference
M•••••• M••••• B••••••• · Director And Officer · Jan 1, 2017 to Apr 30, 2019 Inference
N••• J••••• K•••• · Director · Aug 1, 2013 to Sep 21, 2016 Inference
P•••••• S••• K•••••• · Director · Jun 1, 2014 to Dec 10, 2014 Inference
S•••• M•••••• M•••••••• · Director And Officer · Apr 1, 2019 to Nov 16, 2020 Inference
S•••••• M• C••• · Director · Sep 1, 2017 to Oct 9, 2020 Inference
W•••••• W••• · Director · May 1, 2011 to Jun 19, 2012 Inference

Portfolio

16 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
A••••••• s••••••••	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)
a•• p•••••••	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)
A••••••••	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)
C••••••• R••••••••• S••••••	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)
E••••••• • E•••	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)
F•••••••• p•••••••	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)
F•••• I•••••	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)
I•••	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)
M••••• 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•••••• 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)
S•• a•• i•••••••••	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)
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)
S•••	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)
S••••••••• p•••••••	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)
T•••• W•••••	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)
W••••• i•••••••	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)

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

1 most recent

Mar 30, 2012
H••• S••••••••• •••• I••• 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

Freshness97 · HIGH: as of: 2026-09-19items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9666666666666667,"evidence":"6 method: sum of component points, capped at 1.0
model score-pe-1
Research priority38 · 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 appetite0 · LOW: as of: 2026-09-19items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness50 · ELEVATED: as of: 2026-09-19items: [{"code":"FIELDS_PRESENT","points":0.5,"evidence":["website","funds","team","parmethod: sum of component points, capped at 1.0
missing: description, transactions, stated criteria, lenders, intermediaries, lps
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-19items: []method: 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: 5 days ago
Observations: 23
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

H••• S••••••••• •••• I••• is the same institution as 5 records in Venture Capital, Independent Sponsors, RIA and Wealth, Private Credit and Real Estate Funds.

Venture Capital1Independent Sponsors1RIA and Wealth1Private Credit1Real Estate Funds1

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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