DFX Intelligence
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W••••••••• A••••••••• I••
Special situationsClassification probableLower middle marketSEC registered investment adviser· White Plains, NYw•••••••••.com
Special situations, running SPECIAL SITUATIONS, based in White Plains, 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
- $31.2M
- PE fund assets
- $59.0M
- PE funds
- 3
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 3
- Placement agents 6
- RAUM $31.2M
Classification
How this organization is classified, and on what basisSpecial situations · 1 in historyShowHide
- Class
- Special situationsprobable, confidence 70%
- Basis
- R2: 2 of 3 private equity vehicles are named special situations
- Size band
- Lower middle marketdefined by: proxy: $0.06bn Private Equity Fund GAV on the Form ADV filed 2024-03-29
- Strategies
- SPECIAL SITUATIONS
Classification history (1)
- Sep 13, 2026Special situations (probable, 70%, cls-pe-1)R2: 2 of 3 private equity vehicles are named special situations
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 28, 2012 to Mar 27, 2026
- RAUM
- $31.2Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $59.0Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $31.2Mevery private fund type, latest filing
- 2024 PE fund GAV
- $59.0Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 60%
- Fund type mix
- filed 2024-03-29, latest gav Private Equity Fund $59.0M, latest counts Private Equity Fund 3, lifetime distinct Hedge Fund 2, Private Equity Fund 3
- Employees
- 1
- Headquarters
- White Plains, 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
3 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| W••••••••• D••••••••• O••••••••• F•••• L••• ADV: Private Equity Fund | Special situations fund | unknown | $30.1M as of Mar 29, 2024 | no Form D | Mature | |
| W••••••••• O••••••• D••••••••• O••••••••• F•••• L••• ADV: Private Equity Fund | Special situations fund | unknown | $19.6M as of Mar 29, 2024 | no Form D | Harvest | |
| W••••••••• I••••••••• P•••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $9.3M as of Mar 29, 2024 | no Form D | Mature |
Team
2 current, 3 former
Managing partner (1)
- S•••••• F••••••• G•••••••• · President, Director, And Principal · since Dec 1, 1990 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- R•••••• I• E••••••••• · Counsel And Chief Compliance Officer · since Feb 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
3 former (kept with end dates)
- D••••• S•••••• G••••••• · Chief Compliance Officer And Chief Legal Officer · May 1, 2005 to Feb 16, 2018 Inference
- V•••••• G•••••• V•••• · Chief Financial Officer · Jun 1, 2001 to Mar 30, 2017 Inference
- S••••• K• G••••• · Principal · Jan 1, 2006 to Aug 3, 2015 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
6 relationships
Placement agents (6)
- C••••••••• S••••••••• L•• 3 shared · strong · last Jan 1, 2012
- J•••••••• L•• 2 shared · recurring · last Jan 1, 2014
- P•• S••••••••• L•• 2 shared · recurring · last Jan 1, 2014
- C••• C•••••• L•• 2 shared · recurring · last Jan 1, 2014
- P••••• A••••••• 2 shared · recurring · last Jan 1, 2013
- S••••••• C•••••• L•••••• 1 shared · one time · last Jan 1, 2012
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 28, 2012••• Locked
Across the graphs
W••••••••• A••••••••• I•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Private Credit.
Independent Sponsors1RIA and Wealth1Private 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.
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