DFX Intelligence
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G•••••• S•••• H•••• F••• S••••••••• L••
Fund of fundsClassification probableLower middle marketSEC registered investment adviser· New York, NY
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $11B
- PE fund assets
- $235M
- PE funds
- 1
Form ADV
Form ADV
Form ADV
As of · 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 basisFund of funds · 1 in historyShowHide
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- 3 of 3 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- Lower middle marketdefined by: proxy: $0.24bn Private Equity Fund GAV on the Form ADV filed 2024-08-15
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%)3 of 3 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)RAUM $11B · 1 PE funds · filed Aug 15, 2024ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Dec 23, 2011 to Aug 15, 2024
- RAUM
- $11Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $235Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $11Bevery 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
- 1%
- Fund type mix
- Other private fund: 89 funds, $11B reported gross assets, 198 ever reported
- Hedge fund: 13 funds, $621M reported gross assets, 98 ever reported
- Private equity fund: 1 fund, $235M reported gross assets, 3 ever reported
- Employees
- 27
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviourno criteria stated · no observed deals yetShowHide
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.
FundsHow vehicles are groupedFeeders, parallels, executive funds, alternative investment vehicles and lettered sleeves are folded under the fund they belong to, read from the vehicle names. Deal-by-deal co-investment vehicles are pooled. Current funds come first: families are ordered by vintage, newest first, among those holding at least a twentieth of the largest family’s assets, then by size. The figure is the sum of each vehicle’s latest reported gross assets on Form ADV, not a fund size.
2 families, 3 vehicles on record, 3 more on the reporting tape
A•••••••• I••••••• O••••••••• V• A••••• L• · 1 vehicle · vintage 2017$94.6M
- A•••••••• I••••••• O••••••••• V• A••••• L• Fund of funds · 2017$94.6M
A•••••••• I••••••• O••••••••• I• A••••• F••• L• · 2 vehicles · vintage 2015$46.6M
- A•••••••• I••••••• O••••••••• I• A••••• F••• L• Fund of funds · 2015$36.4M
- A•••••••• I••••••• O••••••••• I• A••••• F••• O••••••• L• Fund of funds · 2015$10.3M
View all 3 vehiclesnewest vintage first, then largest
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| A•••••••• I••••••• O••••••••• V• A••••• L• ADV: Other Private Fund | Fund of funds | 2017 first reported on Form ADV | $94.6M as of Aug 15, 2024 | no Form D | Harvest | |
| A•••••••• I••••••• O••••••••• I• A••••• F••• L• ADV: Other Private Fund | Fund of funds | 2015 first reported on Form ADV | $36.4M as of Aug 15, 2024 | no Form D | Harvest | |
| A•••••••• I••••••• O••••••••• I• A••••• F••• O••••••• L• ADV: Other Private Fund | Fund of funds | 2015 first reported on Form ADV | $10.3M as of Aug 15, 2024 | no Form D | Harvest |
Gross assets by year from the annual reporting tape3 more funds, not yet on the fund tableShowHide
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| B• P••••••• P••••••• ••••• A••••••• A••••• L•• | Private Equity Fund | 2023 to 2024 | $235M filed Aug 15, 2024 | adviserinfo.sec.gov | |
| A•••••••• I••••••• O••••••••• I•• A••••• F•••• L••• | Other Private Fund | 2012 to 2024 | $8.1M filed Aug 15, 2024 | adviserinfo.sec.gov | |
| A•••••••• I••••••• O••••••••• I•• A••••• F••• O•••••••• L••• | Other Private Fund | 2012 to 2024 | $3.4M filed Aug 15, 2024 | adviserinfo.sec.gov |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
4 current, 9 former
- Chief Executive Officer · since Jan 1, 2023
- Chief Legal Officer · since Jan 1, 2021
- Chief Compliance Officer · since Mar 1, 2010
- Chief Operating Officer · since Jan 1, 2024
Full team · 4 peoplegrouped by role, with sources
Managing partner (1)
- M••• O••• N••••••• · Chief Executive Officer · since Jan 1, 2023 Form ADV
Platform (3)
- D•••• P•••••• · Chief Legal Officer · since Jan 1, 2021 Form ADV
- J••••• L• S•••••••• · Chief Compliance Officer · since Mar 1, 2010 Form ADV
- W•••••• C•••••• B••••••••• · Chief Operating Officer · since Jan 1, 2024 Form ADV
9 former (kept with end dates)
- E••• S•••• L••• · Co-Head, Asset Management Division (Co-Chief Executive Officer) · Dec 1, 2011 to Mar 31, 2021 Inference
- J••••• S•••••••• · Chief Executive Officer · Jan 1, 2021 to Feb 9, 2023 Inference
- L••• A••••••• S•••••••• · Co-Chief Executive Officer · Jan 1, 2022 to Feb 9, 2023 Inference
- T•••••• J••••• O••••• · Co-Head, Consumer Investment Management Division (Co-Chief Executive Officer) · Jul 1, 2008 to Jan 11, 2021 Inference
- E•••• P••••• · Chief Legal Officer · Jun 1, 2004 to Jan 11, 2021 Inference
- G•••• G••••• O••••••• · Chief Operating Officer · Jan 1, 2014 to Mar 31, 2017 Inference
- H•••• A••• C•••••• · Chief Operating Officer · Feb 1, 2017 to Feb 9, 2023 Inference
- L••••••• S•••• · Chief Operating Officer · Jan 1, 2023 to Jan 30, 2024 Inference
- J••••••• B••••••• · Director · Apr 1, 2007 to Mar 30, 2012 Inference
DealsHow deals are mergedOne row per deal. A portfolio relationship and a transaction that describe the same deal (the same transaction, or the same company on the same date) are printed once, with the columns of both. 0 portfolio relationships and 0 transactions are on this record.
0 on record, newest first · 0 platforms · 0 add-ons
No deal naming this firm has been collected yet. Deals arrive from the firm’s portfolio page, SEC filings and cited announcements.
Placement agents, lenders, advisers and co-investors
1 relationships
Placement agents (1)
- G•••••• S•••• • C•• L•• 3 shared · strong · last Jan 1, 2017
LP commitmentsHow LPs are totalledOne line per LP, largest disclosed total first. A commitment that the same LP reports again in a later document is counted once in its total; both documents stay in the full list. Rows repeated line for line from one document are shown once.
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
2 most recent
Across the graphs
G•••••• S•••• H•••• F••• S••••••••• L•• is the same institution as 4 records in RIA and Wealth, Allocators, Real Estate Funds and Private Credit.
RIA and Wealth1Allocators1Real Estate Funds1Private Credit1
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: investments held, deals, last 12 months.