DFX Intelligence
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S•••••• E••••• P•••••••
Buyout firmClassification probableLower middle marketSEC registered investment adviser· San Diego, CAs•••••••••.com
Buyout firm, based in San Diego, CA.
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
- $1.4B
- PE fund assets
- $314M
- PE funds
- 9
- Investments held
- 23 of 29
- 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 $3.0M to $15.0MGeography United StatesControl control,majority
- Graphs 3
- Placement agents 1
Classification
How this organization is classified, and on what basisBuyout firm · 2 in historyShowHide
- Class
- Buyout firmprobable, confidence 80%
- Basis
- own website statement
- Size band
- Lower middle marketdefined by: proxy: $0.31bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
Classification history (2)
- Sep 18, 2026
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 6 of 6 distinct vehicles are sworn Private Equity Funds; 5 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Sep 23, 2020 to Mar 27, 2026
- RAUM
- $1.4Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 9
- PE fund GAV, latest filing
- $314Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.4Bevery private fund type, latest filing
- 2024 PE fund GAV
- $314Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-28, latest gav Private Equity Fund $314M, latest counts Private Equity Fund 6, lifetime distinct Private Equity Fund 6
- Employees
- 13
- Headquarters
- San Diego, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
29 observed deals
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- United States
- Revenue
- not stated or not yet read
- EBITDA
- $3.0M to $15.0M
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- control,majority
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 29
- period
- to 2018-01-01, from 2018-01-01, undated holdings 28, dated observations 1
- window
- last unknown, first unknown
- control
- unknown 29
- companies
- 29
- geography
- investments
- 29
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 2
- disclosed value usd
- n 0
- sector distribution
- count 2, share 0.069, value industrial services, examples Andersen Commercial Plumbing, headquarters
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 1, share 0.034, value hvac plumbing mechanical, examples Andersen Commercial Plumbing, count 1, share 0.034, value remediation environmental, examples headquarters
29 companies on the graph (0 transactions); most in industrial services (2); observed 2018 to 2018
Funds
6 on record, 4 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S•••••• E••••• P••••••• I•••• L••• ADV: Private Equity Fund | Buyout fund | 2023 first reported on Form ADV | $58.9M as of Mar 28, 2024 | no Form D | Unknown | |
| O•••••• I••••••• H••••••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $27.9M as of Mar 28, 2024 | no Form D | Early deployment | |
| S•••••• E••••• P••••••• I•••• L••• ADV: Private Equity Fund | Buyout fund | 2023 first reported on Form ADV | $17.1M as of Mar 28, 2024 | no Form D | Unknown | |
| N••••• H•••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $0 as of Mar 28, 2024 | no Form D | Unknown | |
| S•••••• E••••• P••••••• I••• L••• ADV: Private Equity Fund | Buyout fund | unknown | $176M as of Mar 28, 2024 | no Form D | Active deployment | |
| S•••••• E••••• P••••••• I••• L••• ADV: Private Equity Fund | Buyout fund | unknown | $33.7M as of Mar 28, 2024 | no Form D | Active deployment |
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 |
|---|---|---|---|---|---|
| S•••••• E••••• P••••••• I••••• L••• | Private Equity Fund | 2026 to 2026 | $482M filed Mar 27, 2026 | reports.adviserinfo.sec.gov | |
| S•••••• E••••• P••••••• N•••••••• I••• L••• | Private Equity Fund | 2026 to 2026 | $138M filed Mar 27, 2026 | reports.adviserinfo.sec.gov | |
| S•••••• E••••• P••••••• I••••• L••• | Private Equity Fund | 2026 to 2026 | $97.7M filed Mar 27, 2026 | reports.adviserinfo.sec.gov | |
| S•••••• E••••• P••••••• N•••••••• I••• L••• | Private Equity Fund | 2026 to 2026 | $22.2M filed Mar 27, 2026 | reports.adviserinfo.sec.gov |
Team
22 current, 1 former
Managing partner (1)
- A••••• R• T••••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (4)
- A••••• R• T••••••• · Limited Partner · since Jul 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- H•••• P••••••• · Managing Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• K•• · Managing Director, N•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N•••• S•••••• · Managing Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Principal (2)
- N••• S••••••••• · Principal · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•• L• R•• · Principal, N•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (7)
- B••••• C•• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• M••• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• G••••• · Senior Associate, N•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• R•••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•••• S••• · Senior Associate, N•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N••• L••••••• · Vice President, N•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R••••• E••••••••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Associate (3)
- G•••••• W••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• M••••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••••• P••••••••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Operating partner (1)
- M••• S••••• · Executive Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Business development (1)
- D••• P••••• · Principal, Origination · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (3)
- D••••• F•••••• · Chief Financial Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•••••• B• •• O•••• F•••••• · Chief Compliance Officer · since May 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K•••••• M••••••• · Controller · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
1 former (kept with end dates)
- S••• B••• · S•••••• E••••• P••••••• I• G•• L••• · Dec 1, 2019 to Mar 16, 2021 Inference
Portfolio
29 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
1 relationships
Placement agents (1)
- S•••••• A••••••• L•• 4 shared · strong · last Jan 1, 2023
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 27, 2026••• Locked
- Sep 23, 2020••• Locked
Across the graphs
S•••••• E••••• P••••••• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Allocators.
Independent Sponsors1RIA and Wealth1Allocators1
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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