DFX Intelligence
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A••••••• C••••••
Hybrid managerClassification probableLower middle marketSEC registered investment adviser· USa•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $701M
- PE fund assets
- $101M
- 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
- Graphs 1
- RAUM $701M
Classification
How this organization is classified, and on what basisHybrid manager · 1 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 1 of 9 distinct vehicles; hedge, securitized or liquidity vehicles 8
- Size band
- Lower middle marketdefined by: proxy: $0.10bn Private Equity Fund GAV on the Form ADV filed 2024-03-28
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 1 of 9 distinct vehicles; hedge, securitized or liquidity vehicles 8
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 13, 2012 to Mar 28, 2024
- RAUM
- $701Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $101Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $380Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 11%
- Fund type mix
- filed 2024-03-28, latest gav Hedge Fund $279M, Private Equity Fund $101M, latest counts Hedge Fund 1, Private Equity Fund 1, lifetime distinct Hedge Fund 8, Private Equity Fund 1
- Employees
- 2
- 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
0 on record, 1 more on the reporting tape
Gross assets by year from the annual reporting tape
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| A••••••• R•••••••• O•• L•••••• | Private Equity Fund | 2012 to 2023 | $105M filed Oct 18, 2023 | adviserinfo.sec.gov |
Team
2 current, 18 former
Partner (1)
- R••••• C•••••• G•••••• · Chief Investment Officer · since Jun 1, 2008 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- J•••• F•••••• R••• · Chief Compliance Officer · since Oct 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
18 former (kept with end dates)
- I••• R••••• R•••••• · Chief Executive Officer · Mar 1, 2020 to Oct 18, 2023 Inference
- A••••• J••• E•••••• · Owner A••••••• C•••••• Research Llp · Apr 1, 2004 to Mar 29, 2018 Inference
- J••••• P•••••• R••••• · Owner A••••••• C•••••• Research Llp · Apr 1, 2004 to Mar 28, 2013 Inference
- B••••••• •••• B•••••••• · General Counsel, Chief Compliance Officer · Feb 1, 2013 to Mar 28, 2019 Inference
- C•••• C••••••••• W••••• · Chief Compliance Officer · Nov 1, 2019 to Jul 26, 2021 Inference
- D••••• M•••• · Head Of Finance · Feb 1, 2021 to Oct 14, 2022 Inference
- I••••• S• K•••• · General Counsel/Chief Compliance Officer · Nov 1, 2010 to Jan 30, 2013 Inference
- J•••• M••• G••••• · Chief Compliance Officer · Mar 1, 2019 to Aug 20, 2019 Inference
- J••• H•••••••• L•••• · Head Of Finance · Apr 1, 2012 to Mar 30, 2021 Inference
- K•••• P••••• d• G•••••• · Chief Compliance Officer · Jul 1, 2021 to Dec 20, 2021 Inference
- M•••••• L•••••• · General Counsel And Chief Compliance Officer · Dec 1, 2021 to Oct 14, 2022 Inference
- P••• J••• L• B•••• · Chief Compliance Officer · Jan 1, 2013 to Jan 31, 2013 Inference
- P••••••• M••••• T••••••• · Chief Compliance Officer · Aug 1, 2019 to Nov 27, 2019 Inference
- Y••••• I• P••••• · Chief Compliance Officer · Oct 1, 2022 to Oct 18, 2023 Inference
- B• H••••• M••••••••• · Director · Apr 1, 2012 to Mar 28, 2014 Inference
- L•••• H•••••• · Director (Acjlp) · Mar 1, 2007 to Mar 28, 2013 Inference
- R•••••• M•••••• B••••• · Director (Acjl) · Dec 1, 2004 to Mar 29, 2018 Inference
- D•••• G•••••• · Vice President · Aug 1, 2008 to Mar 30, 2020 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
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 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
- Sep 1, 2026Adviser CRD 157275 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Feb 13, 2012A••••••• C•••••• first filed Form ADV in the extract (IA)
Across the graphs
A••••••• C•••••• is the same institution as 1 record in RIA and Wealth.
RIA 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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