DFX Intelligence
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A•• A•••• M••••••••• U•• I••
CandidateClassification candidateLower middle marketSEC registered investment adviser· New York, NY
Candidate, based in New York, NY.
Composed from this firm's filed classification and location. It has no published description on record.
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $141B
- PE fund assets
- $420M
- PE funds
- 3
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 3
- RAUM $141B
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 3 Private Equity Fund(s) among 34 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.42bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 3 Private Equity Fund(s) among 34 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 15, 2012 to Mar 25, 2026
- RAUM
- $141Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $420Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $22Bevery private fund type, latest filing
- 2024 PE fund GAV
- $420Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 9%
- Fund type mix
- filed 2024-03-28, latest gav Hedge Fund $127M, Real Estate Fund $14B, Other Private Fund $6.6B, Private Equity Fund $420M, latest counts Hedge Fund 3, Real Estate Fund 6, Other Private Fund 17, Private Equity Fund 3, lifetime distinct Hedge Fund 4, Real Estate Fund 7, Other Private Fund 20, Private Equity Fund 3
- Employees
- 185
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
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
3 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| P•• 2•••••••• S••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 year in the fund name | $69 as of Mar 28, 2024 | no Form D | Unknown | |
| P•• 2•••••••• S•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2020 year in the fund name | $325M as of Mar 28, 2024 | no Form D | Unknown | |
| P•• 2•••••••• S•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2018 year in the fund name | $95.1M as of Mar 28, 2024 | no Form D | Mature |
Team
4 current, 8 former
Managing partner (1)
- M•••••• S•••••• v•• E• · Chief Executive 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 (3)
- A•••• K•••• P••••• · General Counsel · since Jul 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- E••• A••••• G••••• · Chief Compliance Officer · since Sep 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R••••• T•••••• · Chief Financial Risk Officer · since Jan 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
8 former (kept with end dates)
- P••• S••••••• · Chief Executive Officer · Jun 1, 1998 to Jun 29, 2022 Inference
- F•••••••• J•••• J••••••• A•••• A••••••• · Chief Financial & Risk Officer · Jun 1, 2014 to Mar 29, 2018 Inference
- J•••• M•••• L•••••• · Chief Compliance Officer/Head Of Enterprise Risk Management · Aug 1, 2014 to Aug 14, 2017 Inference
- K•• K•••••• · Interim Chief Compliance Officer · Jul 1, 2017 to Sep 28, 2017 Inference
- L•• P••••• · General Counsel · Sep 1, 1999 to Aug 2, 2019 Inference
- L•••••• C•••••• · Chief Compliance Officer · Jun 1, 2011 to Jun 24, 2014 Inference
- M•••••• S•••••• v•• E• · Chief Financial And Risk Officer · Dec 1, 2017 to Mar 18, 2019 Inference
- P•••• S•••••• · Chief Financial Officer And Chief Risk Officer · Jul 1, 2006 to Mar 28, 2013 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
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
- Feb 15, 2012••• Locked
Across the graphs
A•• A•••• M••••••••• U•• I•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Real Estate Funds.
Independent Sponsors1RIA and Wealth1Real 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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