DFX Intelligence
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S••••••• C•••••• M••••••••• L•
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· New York, NYs•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $220M
- PE fund assets
- $256M
- PE funds
- 1
- 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
- Sectors real_estate,technology,financial_services,environmental_services,safety_security
- Graphs 3
- Placement agents 3
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 12 of 12 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.26bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
- Strategies
- PRIVATE CREDIT
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 12 of 12 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 14, 2012 to Mar 30, 2026
- RAUM
- $220Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $256Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $220Mevery private fund type, latest filing
- 2024 PE fund GAV
- $256Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-28, latest gav Private Equity Fund $256M, latest counts Private Equity Fund 3, lifetime distinct Private Equity Fund 12
- Employees
- 11
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- real estate, technology, financial services, environmental services, safety security
- 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
- ••• Locked
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
11 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••••••• B••••• F••• I•• L• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $218M as of Mar 28, 2024 | no Form D | Early deployment | |
| S••••••• F••• V• L• ADV: Private Equity Fund | buyout or unlabelled | 2017 first reported on Form ADV | $36.3M as of Mar 28, 2024 | no Form D | Harvest | |
| S• N••••••• L• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $6.9M as of Oct 18, 2021 | no Form D | Wound down | |
| S••••••• F••• I•• L• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $778,869 as of Mar 28, 2024 | no Form D | Harvest | |
| S••••••• F••• I••• L• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $278M as of Mar 31, 2014 | no Form D | Wound down | |
| S••••••• F••• I•• • O•••••••• L••• ADV: Private Equity Fund | Feeder or parallel | 2014 first reported on Form ADV | $45.9M as of Mar 31, 2014 | no Form D | Wound down | |
| S••••••• M••••• F••• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $2.5M as of Dec 6, 2023 | no Form D | Wound down | |
| S••••••• P••••••••• L••• F••• I• L• ADV: Private Equity Fund | Credit fund | 2013 first reported on Form ADV | $16.3M as of Apr 1, 2013 | no Form D | Wound down | |
| S••••••• F••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $21.8M as of Jul 30, 2020 | no Form D | Wound down | |
| S••••••• F••• I• • O•••••••• L••• ADV: Private Equity Fund | Feeder or parallel | unknown | $13.9M as of Mar 31, 2014 | no Form D | Wound down | |
| S••••••• F••• I• L• ADV: Private Equity Fund | buyout or unlabelled | unknown | $1.1M as of Apr 6, 2017 | no Form D | Wound down |
Team
12 current, 7 former
Managing partner (2)
- S••••• A•• A•••••••• · Founder And Chief Executive Officer Of The General Partner · since Jul 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S••••• K••• · CEO & Founder · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Analyst (2)
- B•••• W••••• · Senior Investment Analyst · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T•• S••••• · Investment Analyst · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Investor relations (1)
- P•••• L••• R••••• · Investor Relations Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (5)
- D•••• S••••••• · External General Counsel · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• P•••••• · COO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• F••••••• R••••• · Chief Compliance Officer · since Dec 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• B••••• · Deputy COO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- Y••••• Z•••• · CFO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Other (2)
- D••• S•••• C••••• · Senior Advisor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• F••••••• R••••• · Head of Originations · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
7 former (kept with end dates)
- T•••••• J• B••••••• · Managing Member · Dec 1, 2009 to Mar 31, 2023 Inference
- D••• S•••• C••••• · Chief Operating Officer · Jul 1, 2020 to Mar 31, 2023 Inference
- D••• R•• · General Counsel, Chief Compliance Officer And Chief Operating Officer · May 1, 2019 to Mar 19, 2021 Inference
- G•••••• N•• V••••• · Chief Compliance Officer And Chief Financial Officer · Mar 1, 2021 to Oct 18, 2021 Inference
- J••••• J• T••• · General Counsel And Chief Operating Officer · Nov 1, 2011 to Jun 7, 2019 Inference
- K•••• K•• D•••• · Chief Compliance Officer · Oct 1, 2021 to Dec 6, 2023 Inference
- S•••••• N•• D•• G•••••• · Chief Financial Officer · Dec 1, 2012 to Mar 31, 2017 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)
- N••••••••• E••••••••• E• P••••••••• L••• 1 shared · one time · last Jan 1, 2024
- V••••• G••••• I••••••••• 1 shared · one time · last Jan 1, 2024
- H•••••••• S••••••••• S••• 1 shared · one time · last Jan 1, 2024
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 30, 2026S••••••• C•••••• M••••••••• L•: Private Equity Funds on Form ADV 3 (2024 extract) -> 1 (roster 2026-09-01)
- Feb 14, 2012S••••••• C•••••• M••••••••• L• first filed Form ADV in the extract (IA)
Across the graphs
S••••••• C•••••• M••••••••• L• 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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