DFX Intelligence

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I••••• P••••••• L••

Venture firm with private equity activityClassification probableLower middle marketSEC registered investment adviser· Phoenix, AZ

Venture firm with private equity activity, based in Phoenix, AZ.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-13 · identity and classification; each section below carries its own date

Regulatory AUM: $1.7B
PE fund assets: $356M
PE funds: 2
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (3)Transactions

As of 2026-09-13 · identity and classification; each section below carries its own date

Why this matters

Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
0 lenders and 1 placement agents appear beside this firm on the record.
Placement agents 1
Reported $1.7B of regulatory assets at its last Form ADV filing.
2026-07-27
RAUM $1.7B

Classification

How this organization is classified, and on what basisVenture firm with private equity activity · 2 in historyShow

Class: Venture firm with private equity activityprobable, confidence 70%
Basis: R1c: the venture graph classifies the same adviser INSTITUTIONAL_VC
Size band: Lower middle marketdefined by: proxy: $0.36bn Private Equity Fund GAV on the Form ADV filed 2024-03-29

Classification history (2)

Sep 13, 2026
Venture firm with private equity activity (probable, 70%, cls-pe-2)
R1c: the venture graph classifies the same adviser INSTITUTIONAL_VC
Sep 13, 2026
Venture firm with private equity activity (probable, 70%, cls-pe-1)
R3: 15 sworn Venture Capital Funds against 2 Private Equity Funds over 2011-2024

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Mar 30, 2012 to Jul 27, 2026
RAUM: $1.7Bregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 2
PE fund GAV, latest filing: $356Mreported gross assets (Form ADV), not fund size
All private fund GAV: $2.4Bevery private fund type, latest filing
2024 PE fund GAV: $356Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 11%
Fund type mix: filed 2024-03-29, latest gav Other Private Fund $21.7M, Private Equity Fund $356M, Venture Capital Fund $4.8B, latest counts Other Private Fund 2, Private Equity Fund 2, Venture Capital Fund 10, lifetime distinct Other Private Fund 2, Private Equity Fund 2, Venture Capital Fund 15
Employees: 8
Headquarters: Phoenix, AZ
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

2 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
I••••• P••••••• I•• L• ADV: Private Equity Fund	buyout or unlabelled	2016 first reported on Form ADV	$294M as of Mar 29, 2024		no Form D	Harvest
I••••• P•••••• P••••••• I• L• ADV: Private Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$62.4M as of Mar 29, 2024		no Form D	Harvest

Team

3 current, 4 former

Managing partner (1)

W•••••• A••••••• F••••• · M••••••• M••••• O• I••••• P••••••• L•• · since Jan 1, 2004 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Principal (1)

B•••• H• F••••• · P•••••••• O• I••••• P••••••• L•• · since Apr 1, 2004 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

K•••••• E••• K••••••• · Chief Financial Officer And Chief Compliance Officer · since Jul 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

4 former (kept with end dates)

B••• A••••••• G•••••• · Fund Counsel And Chief Compliance Officer · Jul 1, 2015 to Feb 3, 2016 Inference
S•••• A•• A••• · Fund Counsel And Chief Compliance Officer · May 1, 2016 to Jun 7, 2019 Inference
C••••• A••••••• H•••••• · P•••••••• O• I••••• P••••••• L•• · Aug 1, 2011 to Mar 28, 2018 Inference
J••• R• W••••• · P•••••••• O• I••••• P••••••• L•• · Apr 1, 2004 to Jun 7, 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

1 relationships

Placement agents (1)

T•• C•••••• B•• L•• 1 shared · one time · last Jan 1, 2016

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

Mar 30, 2012
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness95 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.95,"evidence":"9 days"}]method: sum of component points, capped at 1.0
model score-pe-1
Research priority40 · MODERATE: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.2,"evidence":"LOWER_MIDDLE_MARKET"},{"code":"COmethod: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness42 · MODERATE: as of: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.4166666666666667,"evidence":["funds","team"method: sum of component points, capped at 1.0
missing: website, description, portfolio, transactions, stated criteria, lenders, lps
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)
Venture Capital Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: 8 days ago
Observations: 21
Sources: 2
Open research tasks: 2

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

I••••• P••••••• 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.

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