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.
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Firms / F••• L••
F••• L••
Hybrid manager · probableLower middle marketSmithfield, RIf•••••••••SEC registered investment adviser
Classification
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 4 of 41 distinct vehicles; hedge, securitized or liquidity vehicles 10
- Size band
- Lower middle marketdefined by: proxy: $0.04bn Private Equity Fund GAV on the Form ADV filed 2024-11-20
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: P•••••• Equity Funds are 4 of 41 distinct vehicles; hedge, securitized or liquidity vehicles 10
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 29, 2012 to Nov 20, 2024
- RAUM
- $219Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $41.9Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $6.2Bevery private fund type, latest filing
- 2024 PE fund GAV
- $41.9Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 10%
- Fund type mix
- filed 2024-11-20, latest gav Hedge Fund $1.8B, Real Estate Fund $399M, Other Private Fund $4.0B, Private Equity Fund $41.9M, latest counts Hedge Fund 2, Real Estate Fund 3, Other Private Fund 14, Private Equity Fund 4, lifetime distinct Hedge Fund 10, Real Estate Fund 4, Other Private Fund 23, Private Equity Fund 4
- Employees
- 168
- Headquarters
- Smithfield, RI
- Office address
- 900 SALEM STREET, Smithfield, RI, 02917
- Business phone
- 617-563-7000
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
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| F••••••• P•••••• E••••• M••••••••• F••• I• L• ADV: P•••••• Equity Fund | Fund of funds | 2024 first reported on Form ADV | $9.2M as of Nov 20, 2024 | no Form D | Unknown | |
| F••••••• P•••••• E••••• M••••••••• F••• I• L• • O••••••• ADV: P•••••• Equity Fund | Buyout fund | 2024 first reported on Form ADV | $0 as of Nov 20, 2024 | no Form D | Unknown | |
| F••••••• 2••• P•••••• E••••• M••••••••• F••• L• ADV: P•••••• Equity Fund | Fund of funds | 2022 year in the fund name | $32.8M as of Nov 20, 2024 | no Form D | Early deployment | |
| F••••••• 2••• P•••••• E••••• M••••••••• F••• L• • O••••••• ADV: P•••••• Equity Fund | Fund of funds | 2022 year in the fund name | $0 as of Nov 20, 2024 | no Form D | Unknown |
Team
17 current, 38 former
Managing partner (1)
- W•••••• W••• I••••• · President, Director, Head Of F••••••• Asset Management Solutions · 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)
Partner (5)
- A•••••• P••••••••• J•••••• · Elected Manager · since May 1, 1994 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- E••••• C• •• O•••• J•••••• I• · 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 (3)
- C•••• M•••• C•••••• · Head Of Sales & Relationship Management, Director · since Feb 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C•••••••• G••••• P••••••••• · Head Of Institutional Portfolio Managers, Director · since Dec 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K••••••• L•• P•••• · Director · since Apr 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- C••••••••• J••• R••••• · Head Of Asset Management Finance · 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)
- M••••• T•••• M•••• · Chief Financial Officer, Director · since Apr 1, 2020 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 Jan 1, 2014 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)
38 former (kept with end dates)
- C•••••• S• •• O•••• M••••••• · President Of Asset Management, Vice Chairman · Mar 1, 2014 to Feb 26, 2016 Inference
- D•••• L• Y•••• · Vice Chairman · Aug 1, 2011 to Mar 29, 2018 Inference
- J•••••• L•••••• · President · Jan 1, 2015 to Nov 23, 2015 Inference
- J•••••• P••• L•••••• · President · Jan 1, 2015 to Apr 25, 2016 Inference
- J••• A••• M•••••••• · President, Director · Jul 1, 2017 to Apr 29, 2020 Inference
- M•••••• A•••••• J•••• · President, Chief Executive Officer, Chairman, Director · Mar 1, 2012 to Jan 8, 2015 Inference
- N•••• D•••• P•••• · President Fixed Income · Mar 1, 2014 to Jul 20, 2020 Inference
- R••••• P••••• O••••••• · President, Asset Management And Corporate Services · Jul 1, 2010 to Apr 30, 2014 Inference
- S•••• C•••• · President, Director · Apr 1, 2016 to Jul 13, 2017 Inference
- T••••• •••• H•••• · Vice Chairman · Feb 1, 2016 to Mar 29, 2018 Inference
- V•••• N•• Z•••••••• · President, Director, President Global Asset Allocation · Apr 1, 2020 to Jan 23, 2023 Inference
- J•••• •••• P•••••••• · Head Of Fixed Income · Jul 1, 2020 to Dec 6, 2023 Inference
- E••••• C• •• O•••• J•••••• · Elected Manager · Oct 1, 1972 to Jan 4, 2017 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
- Y•••• D•••••• C••• · Chief Investment Officer, Director · Nov 1, 2008 to Jan 3, 2014 Inference
- C••••• A•••••• P••••••• · Director, Chief Financial Officer · Feb 1, 2016 to May 17, 2018 Inference
- D•••••• R•••• M•••• · Director, Chief Financial Officer · Oct 1, 2011 to Feb 26, 2016 Inference
- H••••• G•••• K•••••••• · Chief Financial Officer Of Asset Management · Jul 1, 2017 to Oct 29, 2018 Inference
- J••• M•••• R•••••• · Chief Financial Officer Of Asset Management · May 1, 2014 to Jul 13, 2017 Inference
- J••••• A••••• N••••• · Chief Operating Officer Of Asset Management · Jul 1, 2017 to Aug 17, 2018 Inference
- J•• J••• B• M•••••• · Compliance Officer · Aug 1, 2016 to Jun 26, 2020 Inference
- K•••••• A••• R•••••••• · Chief Compliance Officer · Oct 1, 2005 to Apr 16, 2012 Inference
- K•••••• B•••• R••••• · Compliance Officer · Jun 1, 2020 to Jan 23, 2023 Inference
- K•••• M•••••• M•••••• · Chief Compliance Officer · Jul 1, 2018 to Jan 23, 2023 Inference
- L•••• J••• W••••••• · Chief Compliance Officer · Apr 1, 2012 to Aug 17, 2018 Inference
- M•••••• •••• D•••••• · Chief Financial Officer, Director · May 1, 2018 to Apr 29, 2020 Inference
- M•••••• H••••• W••••••• · Svp, Compliance Officer · Nov 1, 2012 to May 17, 2016 Inference
- P•••••• J•••• S••••••• · Senior Vice President, Governance, Risk, Compliance And Treasury · Aug 1, 2011 to Nov 5, 2012 Inference
- W•••• S••• B•••••• · Canada Compliance Officer · Apr 1, 2012 to Mar 28, 2017 Inference
- W•••••• E• D••••• · Chief Operating Officer Of Asset Management · May 1, 2014 to Jul 13, 2017 Inference
- W•••••• E• D••••• · Chief Financial Officer - Asset Management · Aug 1, 2011 to Mar 27, 2013 Inference
- W••••• B• O•••• · Investment Operations Officer · Feb 1, 2016 to Jan 19, 2018 Inference
- J•••• S•••••• C•••••• · Head Of Institutional Portfolio Managers, Director · Jul 1, 2018 to Jan 24, 2022 Inference
- J••••• A••••• N••••• · Director · Nov 1, 2012 to Jun 4, 2014 Inference
- M•••••• A••• F••••••••• · Director, Head Of North American Institutional Distribution · Nov 1, 2012 to Mar 27, 2015 Inference
- M•••••• E•••• B•••••• · Director, Head Of North American Institutional Sales · Feb 1, 2010 to Nov 5, 2012 Inference
- M•••••• P••• P•••••• · Director, Svp, Relationship Management · Aug 1, 2011 to Sep 16, 2014 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)
- F••••••• B•••••••• S••••••• L•• 4 shared · strong · 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
- Jul 30, 2026F••• L••: P•••••• Equity Funds on Form ADV 4 (2024 extract) -> 2 (roster 2026-09-01)
- Mar 29, 2012F••• L•• first filed Form ADV in the extract (IA)
Across the graphs
F••• L•• is the same institution as 5 records in Independent Sponsors, RIA and Wealth, Allocators, Private Credit and Real Estate Funds.
Independent Sponsors1RIA and Wealth1Allocators1Private Credit1Real Estate Funds1
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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