DFX Intelligence
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R••••••••• C••••••• L••
CandidateClassification candidateLower middle marketSEC registered investment adviser· Columbus, OHr•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $4.3B
- PE fund assets
- $14.4M
- PE funds
- 1
- 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
- Sectors hospitality_leisure,technology,consumer
- Graphs 3
- RAUM $4.3B
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 1 Private Equity Fund(s) among 29 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.01bn Private Equity Fund GAV on the Form ADV filed 2024-05-09
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 1 Private Equity Fund(s) among 29 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 14, 2012 to May 9, 2024
- RAUM
- $4.3Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $14.4Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $4.5Bevery private fund type, latest filing
- 2024 PE fund GAV
- $14.4Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 3%
- Fund type mix
- filed 2024-05-09, latest gav Real Estate Fund $4.5B, Private Equity Fund $14.4M, latest counts Real Estate Fund 21, Private Equity Fund 1, lifetime distinct Real Estate Fund 28, Private Equity Fund 1
- Employees
- 112
- Headquarters
- Columbus, OH
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- hospitality leisure, technology, consumer
- 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
- ••• Locked
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 |
|---|---|---|---|---|---|---|
| B••••••••• H••••••••• H••••••• L•• ADV: Private Equity Fund | Feeder or parallel | unknown | $14.4M as of May 9, 2024 | no Form D | Unknown |
Team
9 current, 12 former
Managing partner (2)
- J•••• T••••• M••••• · Ceo & President · since Jan 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• D••••••••• E•• · R••••••••• H••••••• PRESIDENT, ROCKBRIDGE DEVELOPMENT · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (2)
- B•••• M••••••• A•••••••• · Executive Vice President · 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)
- K•••••• J•••••• K•••• · Executive Vice President · since May 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Capital markets (2)
- B••• A•••• · Managing Director, Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- G•••• F•••••• S•• · Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (3)
- E••• B•••• P••••• · 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)
- J••• D•••• H••••• · Chief Financial Officer · since Jul 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T•••• F•••• E•••••• · General Counsel · since Jun 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
12 former (kept with end dates)
- P••••••• G••••• D••• · Trustee · Oct 1, 1995 to Jan 15, 2018 Inference
- P•••• C•••••••• C••••••••• · Trustee · Apr 1, 2006 to May 6, 2016 Inference
- R••••• L•• C••••••••• · Trustee · Apr 1, 2006 to May 6, 2016 Inference
- S•••••• C•••••• D••• · Trustee · Oct 1, 1995 to Jan 15, 2018 Inference
- J••••• B•••• H•••••• · Strategic Adviser · May 1, 2022 to Mar 30, 2023 Inference
- C••••••••• J••• D•••••• · Chief Compliance Officer · Feb 1, 2012 to Jun 14, 2016 Inference
- L••• A••• F•••••• · Chief Financial Officer · Jan 1, 2015 to Feb 2, 2017 Inference
- M•••••• K•• K••••••••• · Chief Compliance Officer · Jun 1, 2016 to Aug 18, 2017 Inference
- R••••• E• C••••••• · Interim Chief Financial Officer · Dec 1, 2016 to Aug 18, 2017 Inference
- T••• A••••• W••••• · General Counsel · Jan 1, 2019 to May 6, 2022 Inference
- L•••• J•••••• M••••• · Executive Vice President · May 1, 2016 to Mar 30, 2022 Inference
- S•••• J••• H•••• L•••• · Executive Vice President · May 1, 2022 to Mar 30, 2023 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
- Aug 25, 2026R••••••••• Expands Portfolio in Texas with Acquisition of Three Hotels
- Feb 14, 2012R••••••••• C••••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
R••••••••• C••••••• L•• 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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