DFX Intelligence
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P• A•••• M••••••••• L••
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $11B
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 2
- Placement agents 3
- RAUM $11B
Classification
How this organization is classified, and on what basisHybrid manager · 1 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 1 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 6
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 1 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 6
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 28, 2012 to Mar 31, 2026
- RAUM
- $11Bregulatory 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
- $0every 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 2024-04-01, latest gav , latest counts , lifetime distinct Hedge Fund 6, Private Equity Fund 1
- Employees
- 48
- Headquarters
- Chicago, IL
- 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 |
|---|---|---|---|---|---|---|
| P••• C•••••• P•••••••• L• ADV: Private Equity Fund | Buyout fund | unknown | $33.0M as of Mar 22, 2017 | no Form D | Active deployment |
Team
9 current, 39 former
Managing partner (1)
- S••• M••••••••• D•••••••• · Chief Executive Officer · since Jan 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (2)
- A•••••• J•••• H••••• · Senior Portfolio Manager · since Jan 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- G••••• M• P••••• · Senior Portfolio Manager · since Jan 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Board or advisory (4)
- B•••••• D••• B•••• · Board Member · since May 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D•••• R•••••• H•••••• · Board Member · since Jul 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- E••• P••• B•••• · Board Member · since Jan 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- P••••• M••• N••••••• · Board Member · since Nov 1, 2004 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- A••• M•••• D•••• · Chief Compliance Officer & General Counsel · since Aug 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S••••• S•••• H•••• · Director Of Finance · since May 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
39 former (kept with end dates)
- A•••••• J•••• D••••• · Board Member · Sep 1, 2017 to Mar 11, 2020 Inference
- C••••• S••• · Board Member · Sep 1, 2017 to Mar 30, 2022 Inference
- J•••• A••• E•••• · Board Member · Sep 1, 2017 to Mar 30, 2022 Inference
- R•••••• S•••• B••• · Board Member · Sep 1, 2017 to Mar 30, 2022 Inference
- R•••••• F•••• S••••••• · Chief M•••eting Officer/Investor Relations · Jan 1, 2016 to Mar 20, 2018 Inference
- D•••••• R••••• R••••••••• · President · Aug 1, 2011 to Mar 24, 2016 Inference
- A••••• J••• H••••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- A•••••• J•••• D••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- B•••••• D••• B•••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- B•••• J•••• B••••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- B•••• A••••• B•••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- C••••••• K••• T•••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- C••••• S••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- C••••••••• J••• J•••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- C••••••••• J••••• C••••• · Class B Member · Dec 1, 2006 to Mar 31, 2014 Inference
- C•••• S•••••• J•••••• · Class B Member · Dec 1, 2006 to Mar 31, 2014 Inference
- D•••• R•••••• H•••••• · Class B Member · Dec 1, 2006 to Mar 31, 2014 Inference
- D•••• V••••• R•••••• · Class B Member · Apr 1, 2010 to Mar 31, 2014 Inference
- D•••• W•••••• G•••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- D•••••• G••••• W•••••• · Class B Member · Apr 1, 2010 to Mar 31, 2014 Inference
- E••••• P••• T•••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- E••• P••• B•••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- E•••• S•••• Y•••••••• · Chief Investment Officer · May 1, 2013 to Mar 20, 2018 Inference
- J•••• H••••• M••••• · Class B Member · Dec 1, 2006 to Mar 28, 2013 Inference
- J•••• V•••••• L•••••••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- J•••• A••• E•••• · Managing Director · Dec 1, 2006 to Feb 22, 2016 Inference
- J•••••• J••• W••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- K••• A•••• F•••• · Class B Member · Dec 1, 2006 to Mar 31, 2014 Inference
- M••• P••••• B••••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- P••• S•••• K••••• · Calss C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- P•••• B•••••• C••• · Chief Investment Officer · Jan 1, 2009 to Mar 28, 2013 Inference
- R••• W••••••• T•••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- S•••••• J••• S••••••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- S•••••• L••• R••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- U•••• S•••• G••• · Class C Member · Mar 1, 2008 to Mar 31, 2014 Inference
- Z•••••• R••••• J•••••• · Class C Member · Dec 1, 2011 to Mar 31, 2014 Inference
- D•••• F•••• W•••••• · General Counsel & Chief Compliance Officer · Jul 1, 1996 to Jun 7, 2022 Inference
- D•••• K•••••• P••••••• · Chief Financial Officer · Sep 1, 2012 to Dec 3, 2014 Inference
- S••••• J•• N••••••• · Chief Operating Officer · Mar 1, 2015 to Mar 21, 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
3 relationships
Placement agents (3)
- K•••••• F••••••••• 1 shared · one time · last Jan 1, 2012
- K•••• O•••••• 1 shared · one time · last Jan 1, 2012
- P••••••••• T•••• C•••••• P•••••••• 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
- Feb 28, 2012••• Locked
Across the graphs
P• A•••• M••••••••• 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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