DFX Intelligence
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C••••••••• C•••••• P•••••••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Indianapolis, INc•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $1.1B
- PE fund assets
- $108M
- PE funds
- 8
- Investments held
- 0 of 115
- Deals, last 12 months
- 0
Form ADV
Form ADV
Form ADV
DFX transaction tape
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 2
- Placement agents 4
- RAUM $1.1B
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 9 of 9 distinct vehicles are sworn Private Equity Funds; 5 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.11bn Private Equity Fund GAV on the Form ADV filed 2024-03-04
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 9 of 9 distinct vehicles are sworn Private Equity Funds; 5 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 15, 2012 to Mar 30, 2026
- RAUM
- $1.1Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 8
- PE fund GAV, latest filing
- $108Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $611Mevery private fund type, latest filing
- 2024 PE fund GAV
- $108Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-04, latest gav Private Equity Fund $108M, latest counts Private Equity Fund 6, lifetime distinct Private Equity Fund 9
- Employees
- 13
- Headquarters
- Indianapolis, IN
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
118 observed deals
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
- ••• Locked
Observed from deals on record
- roles
- unknown 115
- period
- to 2023-09-15, from 2017-10-31, undated holdings 115, dated observations 3
- window
- last 2023-09-15, first 2017-10-31
- control
- unknown 115
- companies
- 118
- geography
- count 2, share 0.017, value IN, count 1, share 0.008, value MA
- investments
- 115
- seller kinds
- transactions
- 3
- cadence by year
- 2017 other deals 1, 2023 other deals 2
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 73
- disclosed value usd
- n 0
- sector distribution
- count 31, share 0.263, value industrial manufacturing, examples Gabriel, North American Kitchen Solutions, Salon Grafix, Y-T Holdco, count 15, share 0.127, value specialty distribution, examples Midwest Equipment Sales, First Source, Automotive Systems Warehouse (ASW), Euro Motorparts Group, count 7, share 0.059, value industrial services, examples Regency Electric, Pinnacle X-Ray Solutions, A&D Environmental Services, Inc., Battery Solutions, count 5, share 0.042, value healthcare services, examples Advanced, Synergy IOM, Dental Alliance Group, P1 Dental Partners, count 3, share 0.025, value business services, examples Direct Marketing Solutions, Majestic Facility Experts, Rapid Prep, count 2, share 0.017, value consumer services, examples Royalty Roofing, North American Lawn & Landscape, count 2, share 0.017, value consumer products, examples Flat River, Eden Brothers, count 2, share 0.017, value life sciences, examples Tenacore Holdings, Inc., MicroMass
- holding period years
- n 0
- repeat counterparties
- role co investor, shared 2, entity id 14889be2-b2b1-4860-8c05-360a88e5b969, role co investor, shared 2, entity id 916bc9a7-cd9c-45a9-8502-c84817eb0bbd, role co investor, shared 2, entity id 8e12cee4-6e12-4eab-839f-75e93df27212
- subsector distribution
- count 26, share 0.22, value miscellaneous manufacturing, examples Gabriel, North American Kitchen Solutions, Salon Grafix, Y-T Holdco, count 14, share 0.119, value misc durable wholesale, examples Midwest Equipment Sales, First Source, Automotive Systems Warehouse (ASW), Euro Motorparts Group, count 2, share 0.017, value consumer products, examples Flat River, Eden Brothers, count 2, share 0.017, value remediation environmental, examples A&D Environmental Services, Inc., Steadfast Alliance, count 2, share 0.017, value waste collection, examples Battery Solutions, JOTS Rental, count 2, share 0.017, value beverage manufacturing, examples Ska Fabricating, Unix Packaging/WGP, count 2, share 0.017, value media telecom, examples KCI Telecommunications, CST Utilities, count 2, share 0.017, value dental, examples Dental Alliance Group, P1 Dental Partners
118 companies on the graph (3 transactions); most in industrial manufacturing (31); observed 2017 to 2023
Funds
9 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C••••••••• C•••••• P••••••• V• L••• ADV: Private Equity Fund | Buyout fund | 2022 first reported on Form ADV | $8.1M as of Mar 4, 2024 | no Form D | Unknown | |
| C•• I••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2017 first reported on Form ADV | $61.3M as of Mar 31, 2018 | no Form D | Wound down | |
| C••••••••• C•••••• P••••••• I•• L••• ADV: Private Equity Fund | Buyout fund | 2017 first reported on Form ADV | $39.8M as of Mar 4, 2024 | no Form D | Successor fundraising | |
| C••••••••• C•••••• P••••••• I••• L••• ADV: Private Equity Fund | Buyout fund | unknown | $50.5M as of Mar 4, 2024 | no Form D | Mature | |
| C•• I•••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $24.1M as of Mar 31, 2018 | no Form D | Wound down | |
| C•• I••••• L••• ADV: Private Equity Fund | Feeder or parallel | unknown | $9.3M as of Mar 4, 2024 | no Form D | Mature | |
| C••••••••• C•••••• P•••••••• L••• ADV: Private Equity Fund | Buyout fund | unknown | $717,351 as of Mar 31, 2018 | no Form D | Wound down | |
| C••••••••• C•••••• P••••••• I•• L••• ADV: Private Equity Fund | Buyout fund | unknown | $106,053 as of Mar 4, 2024 | no Form D | Mature | |
| C•• I•••• L••• ADV: Private Equity Fund | Feeder or parallel | unknown | $0 as of Mar 4, 2024 | no Form D | Unknown |
Team
23 current, 1 former
Managing partner (4)
- A•••• F•••• A••••• · Partner, President · 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)
- D•••• S•••• L••••• · Founding Partner, Retired · since Jun 1, 2000 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- F•••• A••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T••••• A••••• H•••• · Founding Partner, Retired · since Jun 1, 2000 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (7)
- A•••• P•••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••• A•••• H••••• · Partner, Secretary · since Apr 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• A•••• H••••• · Senior Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••••• C••••• H••• · Partner, Retired · since Jul 1, 2002 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• a• M••••• · Senior Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••••• a• M••••• · Partner, Treasurer · since Apr 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T••• C•••• · Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Principal (2)
- A••• S•••••• · Principal · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T•• S••••••• · Principal · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (2)
- G••••• K•••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- N••• B••• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Associate (4)
- A••••• K••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C•••••• D••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C•••••••• H••••••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••••• D•••••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (4)
- A••••• P••••••• · Office Manager and Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•••••••• D••••••• · Accounting Manager · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T•••• R••••• H••••••• · Chief Compliance Officer, Chief Financial Officer · since Aug 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T•••• R••••• H••••••• · Chief Financial Officer & Chief Compliance Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
1 former (kept with end dates)
- J••••••••• A•• B•••• · Chief Compliance Officer, Chief Financial Officer · Apr 1, 2012 to Mar 31, 2022 Inference
Portfolio
115 relationships, 0 platforms, 0 add-ons
Showing 100 of 115 investments on this record. Private Equity Intelligence opens the rest of this record's rows.
Transactions
10 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Oct 24, 2023 | Type not stated | R•••••• R•••••• a•• M••••••• F••••••• E•••••• | Lender | petracapital.com |
| Oct 24, 2023 | Majority recapitalization | R•••••• R•••••• a•• M••••••• F••••••• E•••••• | Lender | petracapital.com |
| Sep 15, 2023 | Majority recapitalization | M••••••• F••••••• E•••••• | Co-investor | petracapital.com |
| Sep 15, 2023 | Majority recapitalization | R•••••• R•••••• | Co-investor | petracapital.com |
| Sep 6, 2022 | Platform acquisition | K••••••• F••• P• L•• | Lender | tecum.com |
| Feb 7, 2022 | Platform acquisition | A••••••••• S•••••• W•••••••• I• | Lender | tecum.com |
| Oct 31, 2017 | Majority recapitalization | W••• S••••• L•• •••• S•••••• | Co-investor | expedition-partners.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
Placement agents, lenders, advisers and co-investors
4 relationships
Placement agents (4)
- C• B••••••••• I•• 3 shared · strong · last Jan 1, 2012
- E•••• F•••••••• C••••••••• L•• 2 shared · recurring · last Jan 1, 2022
- I•••••• C•••••• L•• 1 shared · one time · last Jan 1, 2023
- B• R•••• S••••••••• I••• 1 shared · one time · last Jan 1, 2017
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
9 most recent
- Mar 30, 2026••• Locked
- Oct 24, 2023••• LockedPe in independent sponsor dealFactR•••••• R•••••• a•• M••••••• F••••••• E••••••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Oct 24, 2023••• LockedPe in independent sponsor dealFactR•••••• R•••••• a•• M••••••• F••••••• E••••••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Sep 15, 2023••• LockedPe in independent sponsor dealFactR•••••• R••••••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Sep 15, 2023••• LockedPe in independent sponsor dealFactM••••••• F••••••• E••••••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Sep 6, 2022••• LockedPe in independent sponsor dealFactK••••••• F••• P• L••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Feb 7, 2022••• LockedPe in independent sponsor dealFactA••••••••• S•••••• W•••••••• I•DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Oct 31, 2017••• LockedPe in independent sponsor dealFactW••• S••••• L•• •••• S••••••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
- Feb 15, 2012••• Locked
Across the graphs
C••••••••• C•••••• P••••••• 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.
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