DFX Intelligence
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F•• I••••••••• S•••••••• L••
Fund of fundsClassification probableLower middle marketSEC registered investment adviser· Cincinnati, OHf••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $2.2B
- PE fund assets
- $149M
- 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 2
- RAUM $2.2B
Classification
How this organization is classified, and on what basisFund of funds · 1 in historyShowHide
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- R1: 4 of 4 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- Lower middle marketdefined by: proxy: $0.15bn Private Equity Fund GAV on the Form ADV filed 2024-04-29
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%, cls-pe-1)R1: 4 of 4 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Nov 3, 2016 to Mar 25, 2026
- RAUM
- $2.2Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $149Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $4.9Bevery private fund type, latest filing
- 2024 PE fund GAV
- $149Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 17%
- Fund type mix
- filed 2024-04-29, latest gav Hedge Fund $373M, Other Private Fund $3.2B, Private Equity Fund $149M, latest counts Hedge Fund 3, Other Private Fund 14, Private Equity Fund 4, lifetime distinct Hedge Fund 3, Other Private Fund 17, Private Equity Fund 4
- Employees
- 15
- Headquarters
- Cincinnati, OH
- 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
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| F•• S••••• P•••••• E••••• S••••• ••••• ADV: P•••••• Equity Fund | Fund of funds | 2022 first reported on Form ADV | $29.3M as of Apr 29, 2024 | no Form D | Unknown | |
| F•• S••••• P•••••• E••••• S••••• • T• X•• ADV: P•••••• Equity Fund | Fund of funds | 2021 first reported on Form ADV | $30.1M as of Apr 29, 2024 | no Form D | Unknown | |
| F•• S••••• P•••••• C•••••• S••••• • O•• V• ADV: P•••••• Equity Fund | Fund of funds | 2020 first reported on Form ADV | $49.6M as of Apr 29, 2024 | no Form D | Active deployment | |
| F•• S••••• P•••••• E••••• S••••• T• X• ADV: P•••••• Equity Fund | Fund of funds | 2019 first reported on Form ADV | $40.0M as of Apr 29, 2024 | no Form D | Harvest |
Team
6 current, 5 former
Managing partner (1)
- R••••• D••••• J••••••• · President · since Oct 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Vice president (1)
- S•••• L•• S••••••• H••••••• · Executive Vice President · since Jun 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- G••••• B• T•••••••• · Assistant Secretary · since Jan 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• F•••••• L••••••• · Secretary · since Jan 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• T•••••• T••••• · Chief Compliance Officer · since Oct 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- P••• S•••• K•••••• · Treasurer, Chief Financial Officer, Chief Operating 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)
5 former (kept with end dates)
- K••••• M••••• M•••• · Treasurer And Chief Financial Officer · Jan 1, 2021 to Mar 27, 2023 Inference
- M••• T••••• B••••• · Chief Financial Officer & Treasurer · Oct 1, 2016 to Mar 24, 2021 Inference
- R••• S•••• W•••••• · Chief Operations Officer · Oct 1, 2016 to Mar 30, 2018 Inference
- R•••••• S•• W••• · Executive Vice President · Jan 1, 2021 to Mar 28, 2024 Inference
- S•••• B•••• H•••• · Executive Vice President · Oct 1, 2016 to Mar 28, 2019 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
- Mar 25, 2026••• Locked
- Nov 3, 2016••• Locked
Across the graphs
F•• I••••••••• S•••••••• L•• 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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