DFX Intelligence

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N•• C•••• C•••••• M••••••••• C••••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Stamford, CT

••• Locked

As of 2026-09-24 · identity and classification; each section below carries its own date

Regulatory AUM: $234M
PE fund assets: $212M
PE funds: 2
Investments held: 0 of 37

Find similar buyers Funds and vehicles

Team (15)Transactions

As of 2026-09-24 · identity and classification; each section below carries its own date

Nothing material in the last 180 days. No dated change on record yet.

Classification, Form ADV and stated criteria

How this organization is classified, and on what basisBuyout firm · 2 in historyShow

Class: Buyout firmconfirmed, confidence 85%
Basis: 2 of 2 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
Size band: Lower middle marketdefined by: proxy: $0.24bn Private Equity Fund GAV on the Form ADV filed 2024-05-01

Classification history (2)

Sep 13, 2026
Buyout firm (confirmed, 85%)
2 of 2 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
Sep 13, 2026
Buyout firm (confirmed, 85%)
2 of 2 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)RAUM $234M · 2 PE funds · filed May 6, 2026Show

Adviser type: Registered investment adviser
Form ADV filings: Mar 27, 2023 to May 6, 2026
RAUM: $234Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 2
PE fund GAV, latest filing: $212Mreported gross assets (Form ADV), not fund size
All private fund GAV: $212Mevery private fund type, latest filing
2024 PE fund GAV: $212Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: Private equity fund: 2 funds, $212M reported gross assets
Form ADV filed May 6, 2026
Employees: 4
Headquarters: Stamford, CT
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour4 of 8 criteria stated · 37 observed dealsShow

Stated by the firm

Sectors: Manufacturing, distribution, healthcare, consumer, transportation logistics
Geography: Europe, United States
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: Minority
Thesis: ••• Locked

Observed from deals on record

On record: 37 companies, 37 holdings
Most deals: Industrial manufacturing (8 of 37, e.g. Dadi Chemicals and Yuchai), tech enabled services (1 of 37), life sciences (1 of 37) and 3 more
Subsectors: Miscellaneous manufacturing (8 of 37), data processing hosting (1 of 37), medical devices (1 of 37), consumer products (1 of 37) and 2 more
Deal roles: 37 with role not stated
Control: 37 not stated

37 companies on the graph (0 transactions); most in industrial manufacturing (8); no dated observations

Funds

2 families, 2 vehicles on record

C••••• C•••••• H••••••• I••• L••• · 1 vehicle · vintage 2013$165M
- C••••• C•••••• H••••••• I••• L••• buyout or unlabelled · 2013$165M
C••••• O••••••••• F•••• L••• · 1 vehicle$46.8M
- C••••• O••••••••• F•••• L••• buyout or unlabelled$46.8M

View all 2 vehiclesnewest vintage first, then largest

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
C••••• C•••••• H••••••• I••• L••• ADV: Private Equity Fund	buyout or unlabelled	2013 Form D first sale	$165M as of May 6, 2026		no Form D	Unknown
C••••• O••••••••• F•••• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$46.8M as of May 6, 2026		no Form D	Active deployment

Team

13 current, 0 former

P••• S••••• W•••••••
Chairman, President And Shareholder · since May 1, 2013
J• D•••• S•••••
Managing Director
X••• C••
Managing Director
Y••• L••
Managing Director
D•••• K•••
Vice President

Full team · 13 peoplegrouped by role, with sources

Managing partner (1)

P••• S••••• W••••••• · Chairman, President And Shareholder · since May 1, 2013 Form ADV Firm website

Partner (3)

J• D•••• S••••• · Managing Director · start date unknown Firm website
X••• C•• · Managing Director · start date unknown Firm website
Y••• L•• · Managing Director · start date unknown Firm website

Vice president (4)

D•••• K••• · Vice President · start date unknown Firm website
Q••••••• L• · Senior Vice President · start date unknown Firm website
S••• Z••• · Vice President · start date unknown Firm website
Z••••• L• · Senior Associate · start date unknown Firm website

Analyst (1)

H•••• G• · Analyst · start date unknown Firm website

Board or advisory (1)

S••••• D••••• S•••••• · Trustee And Beneficiary · start date unknown Form ADV

Platform (3)

A•••• H• E•• · Controller · since Jan 1, 2011 Form ADV Firm website
L••• L•• · Managing Director & COO · start date unknown Firm website
R••••• J•••• S••••••• · Chief Compliance Officer · since Oct 1, 2018 Form ADV

Deals

37 on record, newest first · 0 platforms · 0 add-ons

Date	Company	Deal	This firm’s role	Status	Partner	Source
date unknown	B••• A•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	T••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• R•••••••• L•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• I••••••••• H•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Z•••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website

All 37 dealsnewest first

Date	Company	Deal	This firm’s role	Status	Partner	Source
date unknown	B••• A•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	T••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• R•••••••• L•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• I••••••••• H•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Z•••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	I••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	L••• H••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	N•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	T•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• M••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	S•••••• O•••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	J••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C••••• S••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	G•••• L••• B••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Y••••• C•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Y••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Z•••••••• D•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	W••• L••••• S•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	H•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	P••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••• F•••••••• S••••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	H•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D••• C••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	E••••••••• S•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	T••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	A••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	V••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	F•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	9•• P•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	X••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	A••••• P••••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Y•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website

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 LPs, 0 disclosed commitments

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 27, 2023
••• Locked
First Form ADV filingFactForm ADV

Scores and what they are made of

Freshness100 · high: Days since newest evidence: 0 days
Research priority47 · moderate: Scale band: lower middle market
Completeness gap: 4 of 12 profile fields missing
Core PE class: buyout
Investment velocity0 · low: no components recorded
Not yet on record: no dated transactions
Acquisition appetite5 · low: Stated criteria published: withheld
Not yet on record: no transactions on the graph for this firm yet
Profile completeness67 · elevated: Fields present: website, description, funds and 5 more
Not yet on record: transactions, lenders, intermediaries, lps
Fund deployment activity35 · moderate: Funds deploying: 1 item (deployment state is read from the fund's reported gross asset path through 2024)

Across DFX

Independent Sponsor Intelligence (matched on shared CRD)

Record

First observed: Sep 13, 2026
Last observed: today
Observations: 47
Sources: 4
Open research tasks: 1

Reading this profile

Across the graphs

N•• C•••• C•••••• M••••••••• C•••• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.

Independent Sponsors1RIA 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.

Checking your plan…

Not yet on record: deals, last 12 months.