DFX Intelligence
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C••••• A••••••••• L•
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
- $4.6B
- 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 $4.6B
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 6 Private Equity Fund(s) among 14 vehicles; no rule fired
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 6 Private Equity Fund(s) among 14 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Mar 30, 2026
- RAUM
- $4.6Bregulatory 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
- $0every 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
- 43%
- Fund type mix
- filed 2024-03-28, latest gav Hedge Fund $26B, latest counts Hedge Fund 6, lifetime distinct Hedge Fund 7, Other Private Fund 1, Private Equity Fund 6
- Employees
- 162
- 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
6 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C••• ••••• R••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $61.9M as of Apr 9, 2013 | no Form D | Wound down | |
| C•••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $7.5M as of Feb 19, 2019 | no Form D | Mature | |
| C•••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $2.2M as of Mar 30, 2015 | no Form D | Wound down | |
| C••• ••••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $714,359 as of Apr 9, 2013 | no Form D | Wound down | |
| C••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $438,853 as of Mar 30, 2015 | no Form D | Wound down | |
| C••••• H••••••• L• ADV: Private Equity Fund | Feeder or parallel | unknown | $0 as of Mar 31, 2014 | no Form D | Wound down |
Team
13 current, 14 former
Partner (9)
- A••••• E••• L•• · Manager · since Apr 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- A•••••• F•••••• M••••••• · Manager · since Jun 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- B•••• S•••••• K••••• · Sole Shareholder · since Feb 1, 1983 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D••••• L••••• · Manager · since Jul 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• N••• G••••• · Manager · since Jul 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K•••• L•••• F••••• · Manager · 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)
- K•••••• A•••••••• A•••• · Manager · since Sep 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- L•••• L•••• R••••• · Manager · since Dec 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T•••• H••••• · Manager · since Jan 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- A••• U•••••••• · General Counsel · 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)
- B••••••• S•••••• O••• · 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)
- C••••••• N••••••• · Chief Financial Officer · since Mar 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• D••••• W••• · Chief Operating Officer, Chief Risk Officer And L•••••• Partner · since Jul 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
14 former (kept with end dates)
- A•••• S••••••• · Manager · Jul 1, 2022 to Mar 28, 2024 Inference
- A••••• F••••• G••••••• · Manager · Sep 1, 2021 to Mar 28, 2024 Inference
- B••• O••••• · Manager · May 1, 2021 to Mar 28, 2023 Inference
- C••••••• D••••••• · Manager · Sep 1, 2021 to Mar 28, 2023 Inference
- H•••• A••• C•••••• · Manager · Sep 1, 2021 to Mar 28, 2024 Inference
- J••• G••••• F••••• · Manager · Apr 1, 2012 to Mar 30, 2015 Inference
- M•••••• J•••• S••• · Manager · Dec 1, 2019 to Apr 2, 2021 Inference
- S•••• B•••••• B•••••••• · Manager · Apr 1, 2012 to Aug 14, 2019 Inference
- S•••• A••••••• · Manager · Dec 1, 2019 to Oct 22, 2021 Inference
- A••••• R•••••••• · Chief Compliance Officer · Feb 1, 2022 to May 23, 2023 Inference
- A••• M•••• · Deputy General Counsel And Chief Compliance Officer · Jul 1, 2011 to Jun 9, 2017 Inference
- J•••••• M••••••• · Chief Compliance Officer · Feb 1, 2019 to Jul 19, 2019 Inference
- K•• T••••• · General Counsel · Aug 1, 2019 to Mar 29, 2022 Inference
- N•••••• N•••••• · Chief Compliance Officer · Jun 1, 2020 to Jan 5, 2022 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
- Mar 30, 2012••• Locked
Across the graphs
C••••• 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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