DFX Intelligence
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O••••••••• • C•• I•••
Fund of funds, 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
- $37B
- 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 4
- RAUM $37B
Classification
How this organization is classified, and on what basisFund of funds · 1 in historyShowHide
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- R1: 1 of 1 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%, cls-pe-1)R1: 1 of 1 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 7, 2012 to Jun 23, 2026
- RAUM
- $37Bregulatory 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
- 0%
- Fund type mix
- filed 2024-07-18, latest gav Hedge Fund $13.9M, latest counts Hedge Fund 1, lifetime distinct Hedge Fund 1
- Employees
- 2,812
- 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 |
|---|---|---|---|---|---|---|
| O••••••••• A••••••• P••••••• L• ADV: H•••• Fund | Fund of funds | unknown | $13.9M as of Jul 18, 2024 | no Form D | Harvest |
Team
9 current, 13 former
Managing partner (1)
- R••••• S••••• L•••••••• · Director/President · since Apr 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (1)
- J••• A•••••• B•••••••• · Director · since Apr 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Vice president (1)
- E••••• P•••••• H••••••••• · E•••••••• Vice President - P•••••• Client Services · since Feb 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (5)
- B••• M•••••• W•••••• · E•••••••• Vice President-Cfo · since Aug 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D••••• P•••••• M••••••• · E.V.P./Clo/Secretary · since Jan 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D•••••• T••••••• S••••• · Chief Compliance Officer · since Feb 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• T••••• M•••••• · Managing Director/Deputy General Counsel- Director Of Litigation · since Jan 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- L••• E• M•••••• J• · E•••••••• Vice President - Chief Operations Officer · since Apr 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Other (1)
- A••••• G••••••••• L•••••••• · Owns 100% · since Oct 1, 1985 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
13 former (kept with end dates)
- R••••• S••••• O••• · E.V.P. National Sales · Sep 1, 2003 to Dec 17, 2014 Inference
- M••• T••••• W••••• · Managing Director - Nat'L Sales · Dec 1, 2014 to Mar 19, 2019 Inference
- A•••• B•••••• H•••••• · Managing Director/Chief Compliance Officer · Jul 1, 2003 to May 2, 2013 Inference
- B•••• A••• R••• · Ia-Cco · Jul 1, 2020 to Dec 1, 2021 Inference
- J•••• a• G••••• · Chief Compliance Officer · May 1, 2013 to Apr 6, 2017 Inference
- J•••• A••••• C•••••••• · Ia-Cco · Feb 1, 2015 to Aug 5, 2020 Inference
- J•••••• A••••• · Director - E.V.P - Cfo · Apr 1, 2006 to Mar 9, 2022 Inference
- K•••• T••••• D•••• · Ia-Cco · Jan 1, 2015 to Feb 11, 2015 Inference
- L••••••• P•••• S•••••••• · Director/E.V.P/ Chief Operations Officer · Aug 1, 2003 to Apr 23, 2014 Inference
- S•••••••• F•••• A••••• · Interim Cfo · Mar 1, 2022 to Sep 22, 2022 Inference
- S•••••• C•••••• B•••• · Cco- Ia · Mar 1, 2005 to Jan 21, 2015 Inference
- E••••• K•••• R•••••• · Director · Oct 1, 1983 to May 9, 2018 Inference
- L••••••• P•••• S•••••••• · Director · Aug 1, 2003 to Apr 9, 2020 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
3 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Mar 27, 2024 | Add-on acquisition | P•••• 2•••••• | Placement agent (confirmed) | ir.avalotx.com |
| Mar 27, 2024 | Add-on acquisition | P•••• 2•••••• | Placement agent (confirmed) | ir.avalotx.com |
| Mar 17, 2021 | Platform acquisition | S•••••• | Sell-side adviser (confirmed) | goldengatecap.com |
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 7, 2012••• Locked
Across the graphs
O••••••••• • C•• I••• is the same institution as 4 records in Venture Capital, Independent Sponsors, RIA and Wealth and Real Estate Funds.
Venture Capital1Independent 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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