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I•••••• A•••• M••••••••• L••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· New York, NY

••• Locked

Regulatory AUM
$207M
Form ADV
PE fund assets
$207M
Form ADV
PE funds
17
Form ADV
Investments held
39 of 39
DFX transaction tape
Deals, last 12 months
0
DFX transaction tape
Find similar buyersFunds and vehicles
More
Team (1)Transactions
As of · identity and classification; each section below carries its own date

What matters now

  1. Form D
    new offering

    Filed a Form D on 31 Aug 2026, the first public sign that a vehicle is taking commitments.

    A vehicle in market is when LPs and placement agents can still get in.

    FactSEC Form DFor LPs, placement agentsFund families →
  2. +8
    funds on Form ADV

    Private equity funds on its Form ADV went from 9 to 17 (+8).

    New vehicles are a new flagship's feeders, parallels and co-invest sleeves being stood up: capacity arriving before the capital is announced.

    FactSEC Form ADV, Schedule DFund families →
Classification, Form ADV and stated criteria
How this organization is classified, and on what basisBuyout firm · 2 in historyShow
Class
Buyout firmconfirmed, confidence 85%
Basis
18 of 18 distinct vehicles are sworn Private Equity Funds; 18 reported gross assets on a filing in 2022 or later
Size band
Lower middle marketdefined by: proxy: $0.21bn Private Equity Fund GAV on the Form ADV filed 2026-09-10
Strategies
Growth equity
Classification history (2)
  1. Sep 23, 2026
    Buyout firm (confirmed, 85%)
    18 of 18 distinct vehicles are sworn Private Equity Funds; 18 reported gross assets on a filing in 2022 or later
  2. Sep 13, 2026
    Buyout firm (confirmed, 85%)
    10 of 10 distinct vehicles are sworn Private Equity Funds; 10 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)RAUM $207M · 17 PE funds · filed Sep 10, 2026Show
Adviser type
Registered investment adviser
Form ADV filings
May 18, 2022 to Sep 10, 2026
RAUM
$207Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing
17
PE fund GAV, latest filing
$207Mreported gross assets (Form ADV), not fund size
All private fund GAV
$207Mevery private fund type, latest filing
2024 PE fund GAV
$212Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime
100%
Fund type mix
  • Private equity fund: 17 funds, $207M reported gross assets, 18 ever reported
Form ADV filed Sep 10, 2026
Employees
unknown
Headquarters
New York, NY
Office address
••• Locked
Business phone
••• Locked
Stated criteria beside observed behaviour2 of 8 criteria stated · 39 observed dealsShow
Stated by the firm
Sectors
Technology, financial services, software
Geography
Global, North America
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
On record
39 companies, 39 holdings, 1 transaction
Most deals
Software (7 of 39, e.g. Dataminr and Cross River), financial services (3 of 39), business services (1 of 39) and 5 more
Subsectors
Software (7 of 39), financial services (3 of 39), staffing (1 of 39), local delivery (1 of 39) and 4 more
Deal roles
1 platform, 1 add-on, 37 with role not stated
Control
1 control, 38 not stated

39 companies on the graph (1 transaction); most in software (7); 1 platform and 1 add-on; no dated observations

Funds
11 families, 18 vehicles on record

6 smaller families are in the full list of vehicles.

View all 18 vehiclesnewest vintage first, then largest
FundVehicleVintageReported gross assets (Form ADV), not fund sizeGAV by yearForm D soldLifecycle
I•••••• S••••• •••••• Q••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2026
Form D first sale
$22.5M
as of Sep 10, 2026
$20.6MUnknown
I•••••• S••••• •••••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2026
Form D first sale
$10.0M
as of Sep 10, 2026
$9.7MUnknown
I•••••• G••••• E••••• V••• L•
ADV: Private Equity Fund
Growth fund2026
Form D first sale
$1.4M
as of Sep 10, 2026
$17.5MUnknown
I•••••• G••••• E••••• V••• ••• L•
ADV: Private Equity Fund
Growth fund2025
Form D first sale
$3.0M
as of Sep 10, 2026
$19.9MUnknown
I•••••• S••••• •••••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2024
Form D first sale
$31.1M
as of Sep 10, 2026
$3.4MUnknown
I•••••• S••••• •••••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2024
Form D first sale
$21.0M
as of Sep 10, 2026
$2.5MUnknown
I•••••• S••••• •••••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2024
Form D first sale
$16.1M
as of Sep 10, 2026
$4.4MUnknown
I•••••• S••••• •••••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2024
Form D first sale
$729,155
as of Sep 10, 2026
$225,000Unknown
I•••••• S••••• S•••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2023
Form D first sale
$21.4M
as of Sep 10, 2026
$8.7MEarly deployment
I•••••• G••••• E••••• I•••• ••• L•
ADV: Private Equity Fund
Growth fund2023
Form D first sale
$18.0M
as of Sep 10, 2026
$9.0MEarly deployment
I•••••• G••••• E••••• I•••• L•
ADV: Private Equity Fund
Growth fund2023
Form D first sale
$14.0M
as of Sep 10, 2026
$7.2MActive deployment
I•••••• S••••• O•••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2023
Form D first sale
$10.2M
as of Sep 10, 2026
$2.5MEarly deployment
I•••••• S••••• T••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2023
Form D first sale
$354,758
as of Sep 10, 2026
$1.6MUnknown
I•••••• S••••• D•••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2023
Form D first sale
$64,604
as of Sep 10, 2026
$25,000Unknown
I•••••• S••••• S••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2022
Form D first sale
$518,577
as of Sep 10, 2026
$825,000Unknown
I•••••• S••••• 2••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2020
Form D first sale
$26.6M
as of Sep 10, 2026
$1.8MActive deployment
I•••••• S••••• L••••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2020
Form D first sale
$9.8M
as of Sep 10, 2026
no Form DActive deployment
I•••••• S••••• D••• a• S••••• o• I•••••• M••••• L••
ADV: Private Equity Fund
buyout or unlabelled2020
Form D first sale
$5.3M
as of Feb 23, 2024
$5.1MWound down
Team
1 current, 2 former
Full team · 1 persongrouped by role, with sources
Managing partner (1)
2 former (kept with end dates)
Deals
39 on record, newest first · 1 platform · 1 add-ons
DateCompanyDealThis firm’s roleStatusPartnerSource
date unknownA•••• S••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownK•••••Portfolio relationshipPlatformactiveunknownFact Firm website
date unknownS•••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownL•••Portfolio relationshipRole unknownactiveunknownFact Firm website
All 39 dealsnewest first
DateCompanyDealThis firm’s roleStatusPartnerSource
date unknownA•••• S••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownK•••••Portfolio relationshipPlatformactiveunknownFact Firm website
date unknownS•••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownL•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownD••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownR••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownV•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownC•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownH••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownD•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownD•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownC•••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownI•••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownD••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownW••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownU•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownT•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownE••• G••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownC•••• R••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownW•••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownL•••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS•••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownD•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownG••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownp•••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownI••••• A•Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownP••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownA•••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownI••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownU••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownS•••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownA••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownG••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownP••••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknown2••••••Portfolio relationshipRole unknownactiveunknownFact Firm website
date unknownN•••••••••
add-on to K•••••
Add-on acquisitionSponsor (derived)activeunknownkraken.com
Placement agents, lenders, advisers and co-investors
25 relationships
Placement agents (19)
  • I•••••• M•••••• L•• 18 shared · very strong · last Jun 18, 2026
  • C•••••• C•••••• P•••••••• L•• 10 shared · very strong · last Jun 29, 2026
  • N•••••••• S••••••••• C••••••••• 2 shared · recurring · last Mar 25, 2026
  • B• R•••• W••••• M••••••••• 2 shared · recurring · last Mar 25, 2026
  • A••••••••• F•••••••• S•••••••• I••• 2 shared · recurring · last Aug 30, 2024
  • B•• F•••••••• A•••••••• L•• 2 shared · recurring · last Jan 1, 2024
  • G•••• P•••• C•••••• L•• 2 shared · recurring · last Jan 1, 2024
  • I••••••• F•••••••• S••••••• 2 shared · recurring · last Jan 1, 2024
  • B•••••••• I••••••••• L•• 2 shared · recurring · last Jan 1, 2024
  • B•••••• F••••• F••••••••• L•• 2 shared · recurring · last Oct 4, 2023
  • I••••••••• P••••••• L•• 1 shared · one time · last Aug 30, 2024
  • C••••••• S••••••••• I••• 1 shared · one time · last Jan 1, 2024
  • S•••••• S••••••••• 1 shared · one time · last Aug 31, 2026
  • A••• S••••••••• L•• 1 shared · one time · last Aug 31, 2026
  • F•••••• C•••••• 1 shared · one time · last May 6, 2024
  • E•••••••• W••••• A•••••••• L•• 1 shared · one time · last Jan 1, 2024
  • G•••• V•••• C••••••• L•• 1 shared · one time · last Jul 22, 2026
  • N• A••••••• 1 shared · one time · last Jan 1, 2024
  • P•••••• W••••• A•••• M••••••••• 1 shared · one time · last Sep 1, 2022
Financial advisers (2)
  • J•••••••• L•• 1 shared · one time
  • P•• P••••••• L• 1 shared · one time
Legal advisers (4)
  • J•••• D•• 1 shared · one time
  • H••• • S•••••• L•• 1 shared · one time
  • K••••• M••••• R••••••• L•• 1 shared · one time
  • L••••••••• S•••••• L•• 1 shared · one time
LP commitments
0 LPs, 0 disclosed commitments
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
  1. Jun 30, 2026
    ••• Locked
    PE fund count changedFactForm ADV
  2. May 18, 2022
    ••• Locked
    First Form ADV filingFactForm ADV
Across the graphs

I•••••• A•••• 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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