DFX Intelligence
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R••••••••• C•••••• M••••••••• L••
Buyout firmClassification confirmedMiddle marketSEC registered investment adviser· Sausalito, CAr•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $2.3B
- PE fund assets
- $1.6B
- PE funds
- 0
- Investments held
- 40 of 40
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Equity cheque $5.0M to $100MRevenue from $20.0MSectors healthcare,technology
- Graphs 2
- Placement agents 4
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 7 of 7 distinct vehicles are sworn Private Equity Funds; 6 reported gross assets on a filing in 2022 or later
- Size band
- Middle marketdefined by: proxy: $1.55bn Private Equity Fund GAV on the Form ADV filed 2024-10-22
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 7 of 7 distinct vehicles are sworn Private Equity Funds; 6 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Apr 11, 2014 to May 13, 2026
- RAUM
- $2.3Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- $1.6Breported gross assets (Form ADV), not fund size
- All private fund GAV
- $2.3Bevery private fund type, latest filing
- 2024 PE fund GAV
- $1.6Bsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-10-22, latest gav Private Equity Fund $1.6B, latest counts Private Equity Fund 6, lifetime distinct Private Equity Fund 7
- Employees
- 12
- Headquarters
- Sausalito, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
40 observed deals
Stated by the firm
- Sectors
- healthcare, technology
- Geography
- not stated or not yet read
- Revenue
- from $20.0M
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- $5.0M to $100M
- Control
- not stated or not yet read
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 40
- period
- to unknown, from unknown, undated holdings 40, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 40
- companies
- 40
- geography
- count 1, share 0.025, value CA
- investments
- 40
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 8
- disclosed value usd
- n 0
- sector distribution
- count 3, share 0.075, value life sciences, examples Calcimedica, Diagnostics & Life Science Tools, Medical Devices, count 1, share 0.025, value software, examples Click Therapeutics, count 1, share 0.025, value healthcare services, examples Bristol Hospice, count 1, share 0.025, value consumer services, examples Healthcare Services Company, count 1, share 0.025, value healthcare it, examples Healthcare IT, count 1, share 0.025, value industrial manufacturing, examples Colorescience, Inc.
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 2, share 0.05, value life sciences, examples Calcimedica, Diagnostics & Life Science Tools, count 1, share 0.025, value software, examples Click Therapeutics, count 1, share 0.025, value home health, examples Bristol Hospice, count 1, share 0.025, value medical devices, examples Medical Devices, count 1, share 0.025, value landscaping, examples Healthcare Services Company, count 1, share 0.025, value healthcare it, examples Healthcare IT, count 1, share 0.025, value miscellaneous manufacturing, examples Colorescience, Inc.
40 companies on the graph (0 transactions); most in life sciences (3); no dated observations
Funds
7 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| R••••••••• H••••••••• F••• I•• L••• ADV: Private Equity Fund | buyout or unlabelled | 2024 first reported on Form ADV | $605M as of Oct 22, 2024 | no Form D | Unknown | |
| R••••••••• C•••••••• I•• L••• ADV: Private Equity Fund | Co-investment vehicle | 2024 first reported on Form ADV | $18.1M as of Oct 22, 2024 | no Form D | Unknown | |
| R••••••••• H•••••••• F••• I••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $478M as of Oct 22, 2024 | no Form D | Active deployment | |
| R••••••••• A•••••• L• ADV: Private Equity Fund | buyout or unlabelled | 2020 first reported on Form ADV | $100M as of Oct 22, 2024 | no Form D | Harvest | |
| L•••••• R••••••••• H••••••••• F••• I•• L••• ADV: Private Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $202M as of Oct 22, 2024 | no Form D | Harvest | |
| L•••••• R••••••••• H••••••••• F••• I• L••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $149M as of Oct 22, 2024 | no Form D | Mature | |
| L•••••• R••••••••• I••••• ••••• L••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $2.2M as of Jul 14, 2015 | no Form D | Wound down |
Team
19 current, 6 former
Managing partner (4)
- M•••••• H• B•••• · Managing Partner And Member · since Sep 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• B•••• · Managing Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- S•••• H•••••• · Managing Partner And Member · since Sep 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••• H•••••• · Managing Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Partner (3)
- E••• S•••••••• P•• · Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- F••• L•• · Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J••••••• A• · Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Principal (1)
- R•• R••• · Principal · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Vice president (4)
- C•••• B•••••• · Vice President · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- G•••••• B•••• · Senior Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- K••••• H••••• · Vice President · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- V•••• V••••••• · Senior Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Associate (2)
- C•••••• Z•••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J••••• B•••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Platform (4)
- A••••• J••••• O•••• · Partner, Chief Financial Officer & Chief Operations Officer · since Nov 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- E•••••••• A•• S••••• · Partner & Chief Compliance Officer · since Mar 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- L•• S••••• · Partner & Chief Compliance Officer · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- P••••••• G•••••• · Partner & CFO · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Other (1)
- D••• F••••• · MD · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
6 former (kept with end dates)
- J•••• J•••• N•••••• · Member Of The Board Of Managers · Dec 1, 2013 to Mar 30, 2016 Inference
- Z••• S•••• · Managing Member · Mar 1, 2013 to Oct 5, 2022 Inference
- J•••••• A••• L•••••• · Holder Of Beneficial Interest · Oct 1, 2013 to Jan 31, 2019 Inference
- J• E••• A••••••• · Chief Compliance Officer, Director Of Compliance · Mar 1, 2014 to Mar 29, 2018 Inference
- K•••• B•••• · Chief Financial Officer · Oct 1, 2015 to Mar 29, 2019 Inference
- T•••••• A••••• G••••• G•••••• · General Counsel, Member Of The Board Of Managers · Dec 1, 2013 to Mar 29, 2019 Inference
Portfolio
40 relationships, 0 platforms, 0 add-ons
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
4 relationships
Placement agents (4)
- S••••• L••• P•••••••• L•• 1 shared · one time · last Jan 1, 2021
- H••••••• M••••• I••••••••• L•• 1 shared · one time · last Jan 1, 2015
- H•••••• S••••••••• L•• 1 shared · one time · last Jan 1, 2015
- T•• C•••••• A•••••••• I••• 1 shared · one time · last Jan 1, 2015
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
4 most recent
- Sep 15, 2026••• Locked
- Sep 15, 2026••• Locked
- May 13, 2026••• Locked
- Apr 11, 2014••• Locked
Across the graphs
R••••••••• C•••••• M••••••••• L•• is the same institution as 2 records in Venture Capital and RIA and Wealth.
Venture Capital1RIA 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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