DFX Intelligence

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T••••••• L••

Hybrid managerClassification probableunsizedSEC registered investment adviser· New York, NYt•••••••••.com

Hybrid manager, based in New York, NY.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-17 · identity and classification; each section below carries its own date

Regulatory AUM: $70.6M
PE fund assets: Not established
PE funds: 0
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (1)Transactions

As of 2026-09-17 · identity and classification; each section below carries its own date

Why this matters

Also held on 2 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 2
Reported $70.6M of regulatory assets at its last Form ADV filing.
2018-07-11
RAUM $70.6M

Classification

How this organization is classified, and on what basisHybrid manager · 1 in historyShow

Class: Hybrid managerprobable, confidence 65%
Basis: R4: Private Equity Funds are 1 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 5
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later

Classification history (1)

Sep 13, 2026
Hybrid manager (probable, 65%, cls-pe-1)
R4: Private Equity Funds are 1 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 5

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Feb 14, 2012 to Jul 11, 2018
RAUM: $70.6Mregulatory 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: $11.6Mevery 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: 14%
Fund type mix: filed 2018-07-11, latest gav Securitized Asset Fund $11.6M, latest counts Securitized Asset Fund 1, lifetime distinct Hedge Fund 1, Other Private Fund 1, Private Equity Fund 1, Securitized Asset Fund 4
Employees: 1
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
T•••••• T•••• R••••• P•••••••• L•• ADV: Private Equity Fund	SPV	2015 first reported on Form ADV	$190M as of Mar 30, 2017		no Form D	Early deployment

Team

1 current, 3 former

Partner (1)

E••••• L• S•••••• I•• · Member · since Sep 1, 2011 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••• M• M•••• · Chief Compliance Officer Of Registrant And Both Relying Advisers · Sep 1, 2016 to Mar 27, 2018 Inference
G•••• G•••••• R••••• · Chief Operating Officer, Secretary Of Registrant And Both Relying Advisers · Dec 1, 2005 to Mar 27, 2018 Inference
N••• K••••• · Chief Financial Officer And Vice President Of Registrant · Dec 1, 2005 to Jul 11, 2018 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

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

2 most recent

Sep 1, 2026
Adviser CRD 151644 is not on the SEC registered or exempt adviser roster of 2026-09-01
Adviser off rosterInferenceSEC Form ADV monthly roster (registered + exempt reporting advisers)
Feb 14, 2012
T••••••• L•• first filed Form ADV in the extract (IA)
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness97 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9722222222222222,"evidence":"5 method: sum of component points, capped at 1.0
model score-pe-1
Research priority28 · MODERATE: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.05,"evidence":"UNSIZED"},{"code":"COMPLETENESS_method: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness33 · MODERATE: as of: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.3333333333333333,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, portfolio, transactions, stated criteria, lenders, intermediaries, lps, cross dfx
model score-pe-1
Fund deployment activity35 · MODERATE: as of: 2026-09-22items: [{"code":"FUNDS_DEPLOYING","points":0.35,"caution":"deployment state is read fromethod: sum of component points, capped at 1.0
model score-pe-1

Across DFX

No link to the family office, independent sponsor or venture graphs yet. Links are made only on a shared identifier such as a CRD or CIK number.

Record

First observed: Sep 13, 2026
Last observed: 5 days ago
Observations: 18
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

T••••••• L•• is the same institution as 2 records in RIA and Wealth and Private Credit.

RIA 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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