DFX Intelligence
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S••••••••• C•••••• M••••••••• L•
Buyout firmClassification probableLower middle marketSEC registered investment adviser· New York, NY
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $340M
- PE fund assets
- $34.4M
- PE funds
- 1
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Nothing material in the last 180 days. Last change: 29 Jun 2021, Filed a Form D on 29 Jun 2021, the first public sign that a vehicle is taking commitments.
Classification, Form ADV and stated criteria
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmprobable, confidence 65%
- Basis
- 1 of 2 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.05bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%)1 of 2 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)RAUM $340M · 1 PE funds · filed Mar 30, 2026ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Oct 18, 2019 to Mar 30, 2026
- RAUM
- $340Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $34.4Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $316Mevery private fund type, latest filing
- 2024 PE fund GAV
- $34.4Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 50%
- Fund type mix
- Hedge fund: 1 fund, $281M reported gross assets
- Private equity fund: 1 fund, $34.4M reported gross assets
- Employees
- 6
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour2 of 8 criteria stated · no observed deals yetShowHide
Stated by the firm
- Sectors
- Healthcare, life sciences
- Geography
- Global
- 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.
FundsHow vehicles are groupedFeeders, parallels, executive funds, alternative investment vehicles and lettered sleeves are folded under the fund they belong to, read from the vehicle names. Deal-by-deal co-investment vehicles are pooled. Current funds come first: families are ordered by vintage, newest first, among those holding at least a twentieth of the largest family’s assets, then by size. The figure is the sum of each vehicle’s latest reported gross assets on Form ADV, not a fund size.
1 family, 1 vehicles on record
S••••••••• P•••••• O••••••••• F••• I• L• · 1 vehicle · vintage 2021$34.4M
- S••••••••• P•••••• O••••••••• F••• I• L• buyout or unlabelled · 2021$34.4M
View all 1 vehiclenewest vintage first, then largest
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••••••••• P•••••• O••••••••• F••• I• L• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $34.4M as of Mar 30, 2026 | $6.1M | Harvest |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
2 current, 0 former
- Managing Partner · since Oct 1, 2019
- Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer · since Oct 1, 2019
Full team · 2 peoplegrouped by role, with sources
Platform (1)
- G••••• B••••••• S••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer · since Oct 1, 2019 Form ADV
DealsHow deals are mergedOne row per deal. A portfolio relationship and a transaction that describe the same deal (the same transaction, or the same company on the same date) are printed once, with the columns of both. 0 portfolio relationships and 0 transactions are on this record.
0 on record, newest first · 0 platforms · 0 add-ons
No deal naming this firm has been collected yet. Deals arrive from the firm’s portfolio page, 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 commitmentsHow LPs are totalledOne line per LP, largest disclosed total first. A commitment that the same LP reports again in a later document is counted once in its total; both documents stay in the full list. Rows repeated line for line from one document are shown once.
0 LPs, 0 disclosed commitments
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
- Oct 18, 2019••• Locked
Across the graphs
S••••••••• C•••••• M••••••••• L• is the same institution as 3 records in Venture Capital, Independent Sponsors and RIA and Wealth.
Venture Capital1Independent 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.
Checking your plan…
Not yet on record: investments held, deals, last 12 months.