DFX Intelligence
Private Equity Intelligence
Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Firms / F••••••• M••••••••• • R••••••• C•••••• L••
F••••••• M••••••••• • R••••••• C•••••• L••
Special situations · probableLower middle marketBoston, MAf•••••••.comSEC registered investment adviser
F••••••• Investments is a financial services company that helps customers plan and achieve their most important financial goals. We offer a wide range of financial products and services for individuals and businesses, including trading & investing, retirement, spending & saving, and wealth management.
Classification
- Class
- Special situationsprobable, confidence 70%
- Basis
- R2: 3 of 3 private equity vehicles are named special situations
- Size band
- Lower middle marketdefined by: proxy: $0.18bn Private Equity Fund GAV on the Form ADV filed 2024-09-20
- Strategies
- SPECIAL SITUATIONS
Classification history (1)
- Sep 13, 2026Special situations (probable, 70%, cls-pe-1)R2: 3 of 3 private equity vehicles are named special situations
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 28, 2012 to Sep 20, 2024
- RAUM
- $3964Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $180Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $180Mevery private fund type, latest filing
- 2024 PE fund GAV
- $180Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 3%
- Fund type mix
- filed 2024-09-20, latest gav Private Equity Fund $180M, latest counts Private Equity Fund 3, lifetime distinct Hedge Fund 4, Liquidity Fund 1, Other Private Fund 145, Private Equity Fund 4
- Employees
- 1,264
- Headquarters
- Boston, MA
- Office address
- 245 SUMMER STREET, Boston, MA, 02210
- Business phone
- 617-563-7000
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- food beverage, education, consumer
- 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
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| F••• C••••• T•• S••••••••• L• ADV: Private Equity Fund | Feeder or parallel | 2023 first reported on Form ADV | $0 as of Dec 6, 2023 | no Form D | Wound down | |
| F••••••• D••••••••• O••••••••• M••••• F••• I• L• ADV: Private Equity Fund | Special situations fund | 2021 first reported on Form ADV | $180M as of Sep 20, 2024 | no Form D | Unknown | |
| F••••••• D••••••••• O••••••••• F••• I• L• ADV: Private Equity Fund | Special situations fund | 2021 first reported on Form ADV | $0 as of Sep 20, 2024 | no Form D | Unknown | |
| F••••••• D••••••••• O••••••••• O••••••• F••• I• L• ADV: Private Equity Fund | Special situations fund | 2021 first reported on Form ADV | $0 as of Sep 20, 2024 | no Form D | Unknown |
Team
16 current, 24 former
Managing partner (1)
- B••• A•••••••• G•••••• · President, Head Of Asset Management · since Feb 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (4)
- E••••• C• •• O•••• J•••••• · Elected Manager · since Apr 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- G••••• J• M••••• · Elected Manager · since Oct 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• E• •• O•••• W••••• · Elected Manager · since Oct 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••••• C•••••• N••• · Elected Manager · since Apr 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (2)
- A•••••• P••••••••• J•••••• · Chairman Of The Board, Director · since Feb 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- P•••• S•••• L•••• · Vice Chairman, Director · since Dec 1, 1992 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (5)
- C••••••••• J••• R••••• · Head Of Asset Management Finance, Treasurer · since Sep 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C••••••••• M•••••• G•••••• · Compliance Officer · since Jan 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C•••••• L• B••••••• · Senior Vice President, Secretary, Chief Legal Officer · since Oct 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• P••••• P•••••••• · Compliance Officer · since Jan 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••••••• J••• B•••• · Chief Compliance Officer · since Jan 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Other (4)
- H••••• J•• L••• · Head Of High Income · since Aug 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- P•• R•••••• H•••••• · Co-Head Equity · 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)
- R•••• L•• F•••• · Head Of Fixed Income · since Jul 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T•••••• M•••••• C•••• · Co-Head Equity · 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)
24 former (kept with end dates)
- B•••• B• •• O•••• H•••• · President, Equity Group · Apr 1, 2009 to Mar 28, 2018 Inference
- C•••••• S• •• O•••• M••••••• · President, President Of Asset Management · Mar 1, 2014 to Jan 4, 2019 Inference
- J•••••• P••••• P••••• · President · Nov 1, 2009 to Nov 5, 2014 Inference
- R••••• P••••• O••••••• · President Of Asset Management And Corporate Services · Jul 1, 2010 to Apr 30, 2014 Inference
- S•••••• C•••••• N••• · President, Head Of Asset Management · Dec 1, 2018 to Mar 30, 2020 Inference
- J•••• •••• P•••••••• · Head Of Fixed Income · Jul 1, 2020 to Dec 6, 2023 Inference
- N•••• D•••• P•••• · Head Of Fixed Income · Mar 1, 2018 to Jul 20, 2020 Inference
- J•••• C• •• O•••• C••••• · Elected Manager · Feb 1, 1990 to Jan 23, 2023 Inference
- J••• J• •• O•••• R•••••• · Elected Manager · Apr 1, 2006 to Mar 28, 2024 Inference
- H••••• G•••• K•••••••• · Chief Financial Officer Of Asset Management, Treasurer · Jul 1, 2017 to Oct 29, 2018 Inference
- J••• M•••• R•••••• · Chief Financial Officer Of Asset Management, Treasurer · May 1, 2014 to Sep 25, 2017 Inference
- J••••• a• •• O•••• H••••• · Compliance Officer · Mar 1, 2009 to Sep 16, 2014 Inference
- J••••• A••••• N••••• · Chief Operating Officer Of Asset Management · Jul 1, 2017 to Aug 17, 2018 Inference
- K•••••• A••• R•••••••• · Chief Compliance Officer · Jun 1, 2005 to Apr 30, 2012 Inference
- K•••••• B•••• R••••• · Compliance Officer · Jul 1, 2016 to Jan 23, 2023 Inference
- K•••• M•••••• M•••••• · Chief Compliance Officer · Jul 1, 2018 to Jun 27, 2023 Inference
- L•••• J••• W••••••• · Chief Compliance Officer · Apr 1, 2012 to Aug 17, 2018 Inference
- M••• R••••• B••••• · Senior Vice President, Secretary, Chief Legal Officer · Sep 1, 2015 to Oct 29, 2018 Inference
- M•••••• H••••• W••••••• · Compliance Officer · Sep 1, 2014 to May 20, 2016 Inference
- S•••• C• •• O•••• G••••• · Senior Vice President, Secretary, General Counsel · May 1, 2008 to Oct 15, 2015 Inference
- W•••••• C•••••• C••••• · Senior Vice President, Secretary, Chief Legal Officer · Sep 1, 2018 to Nov 11, 2019 Inference
- W•••••• E• D••••• · Chief Operating Officer Of Asset Management, Executive Vice President · May 1, 2014 to Sep 25, 2017 Inference
- W•••••• L•• B••••• · Director · Oct 1, 1972 to Nov 5, 2014 Inference
- J• •••• W••••• · Treasurer, Senior Vice President · Mar 1, 2001 to Nov 16, 2012 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
2 relationships
Placement agents (2)
- F••••••• B•••••••• S••••••• L•• 3 shared · strong · last Jan 1, 2021
- F••••••• D••••••••• C•••••• L•• 3 shared · strong · last Jan 1, 2021
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
- Jul 30, 2026F••••••• M••••••••• • R••••••• C•••••• L••: Private Equity Funds on Form ADV 3 (2024 extract) -> 1 (roster 2026-09-01)
- Mar 28, 2012F••••••• M••••••••• • R••••••• C•••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
F••••••• M••••••••• • R••••••• C•••••• L•• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.
Independent 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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