DFX Intelligence
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S•••••••• A••••••••• L••
Hybrid managerClassification probableunsizedSEC registered investment adviser· New York, NYs••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $80.0M
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- RAUM $80.0M
Classification
How this organization is classified, and on what basisHybrid manager · 1 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 0 of 10 distinct vehicles; hedge, securitized or liquidity vehicles 10
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 0 of 10 distinct vehicles; hedge, securitized or liquidity vehicles 10
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 10, 2012 to Sep 3, 2021
- RAUM
- $80.0Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- $80.0Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 0%
- Fund type mix
- filed 2021-09-03, latest gav Hedge Fund $80.0M, latest counts Hedge Fund 4, lifetime distinct Hedge Fund 10
- Employees
- 6
- 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
1 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| D••• P••••••• I• L• ADV: Hedge Fund | buyout or unlabelled | 2014 first reported on Form ADV | $22,566 as of Sep 3, 2021 | no Form D | Harvest |
Team
5 current, 8 former
Managing partner (1)
- J•••• N•••••••• A••• · Chief Executive Officer · since Mar 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- A••••• M• W•••••• · Member · since Mar 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (1)
- B•••• a• K•••• · Director · since Nov 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- J••• K•••• L•••• · Chief Financial Officer · since Jan 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••••• T••••••• · Chief Compliance Officer · since Jun 1, 2021 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)
- D••••• B•••• S•••••• · President · Nov 1, 2013 to Jul 7, 2015 Inference
- A••••• P••• N••••• · Chief Financial Officer · Nov 1, 2013 to Mar 30, 2016 Inference
- I••• N• I••••••••• · Chief Financial Officer · Mar 1, 2016 to Aug 2, 2017 Inference
- J••• J••••• M•••••• · Chief Compliance Officer · Aug 1, 2020 to Jul 1, 2021 Inference
- J••• M•••••• N•••• · Director And Interim Cfo · Jul 1, 2017 to Mar 29, 2018 Inference
- L•••• T•••••• C••••••••• · Chief Operating Officer, Chief Compliance Officer · Nov 1, 2013 to Jun 12, 2015 Inference
- M•••••• J••••• P•••••• · Chief Compliance Officer / Chief Operating Officer · Mar 1, 2016 to Jul 15, 2020 Inference
- W•••••• F• C••••• · General Counsel · Nov 1, 2013 to Mar 31, 2014 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
2 most recent
- Sep 1, 2026••• Locked
- Feb 10, 2012••• Locked
Across the graphs
S•••••••• A••••••••• L•• is the same institution as 1 record in RIA and Wealth.
RIA 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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