DFX Intelligence
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Firms / S••••• C•••••• M••••••••• L•••
S••••• C•••••• M••••••••• L•••
Private equity with venture activity · probableGreenwich, CTs•••••••••.comSEC registered investment adviser
••• Locked
registered adviser; venture funds are 0% of 6 private funds
Importance
13
low
Active deployment
8
low
Emerging
0
low
Completeness
69
high
Freshness
97
high
Research priority
4
low
Identity and regulatory footprint
- Headquarters
- Greenwich, CTa•••••••••.s••.gov
- Office address
- ••• Lockeda•••••••••.s••.gov
- Business phone
- ••• Lockeda•••••••••.s••.gov
- Website
- s•••••••••.com
- SEC adviser type
- registered investment advisera•••••••••.s••.gov
- SEC exemption claimed
- unknown
- Latest Form ADV
- Jul 3, 2024
- Private funds reported
- 6 (0 venture capital funds)a•••••••••.s••.gov
- Private fund gross assets
- $2.0Ba•••••••••.s••.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
- Regulatory AUM
- $2.0Bthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 17
- Owners on Schedule A
- S••••• G• L•• (General Partner), NA; S• S••••• H••••••• L•• (Limited Partner), B
- business phone
- 475-208-3178adviserinfo.sec.govpublished by the subject
Stated thesis versus observed behaviour
2 observed deals
Stated (the firm’s website)
- Sectors
- healthcare, biotech, medtech
- Stages
- not stated or not yet read
- Geography
- not stated
- Check size
- not stated; DFX does not estimate checks from round sizes
Observed (from deals on record)
Stage at participation
series b 100%
Stage at first entry
series b 100%
Sectors
unknown 50%Other Health Care 50%
lead rate 0%follow-on rate 0%new logos, 12 months 2
Funds and vehicles
2 reported
| Vehicle | Type | Vintage | Lifecycle | Reported GAV | Owners | Form D sold | Latest Form D |
|---|---|---|---|---|---|---|---|
| S••••• B• S••• L•• | SPV or co-invest vehicle · ADV: P•••••• Equity Fund | 2019 form d first sale | Mature | $8.5M Jul 3, 2024 | 32 | $8.3M of $8.3M | Feb 23, 2022 |
| S••••• P•••••• E••••• F••• I• L••• | Fund · ADV: P•••••• Equity Fund | 2018 form d first sale | Harvest | $25.3M Jul 3, 2024 | 59 | $85.5M of $125M | Oct 7, 2020 |
GAV is the gross asset value the adviser reported on Form ADV for the vehicle, never the fund’s committed size and never dry powder. Form D sold is the amount sold as of the latest filing, never a final close.
Investment team
8 current, 3 departed
B••••••• A••••• L•••
PartnerLimited Partner · since Jan 1, 2024
C•••••• A••••• D••••
PartnerMember · since Sep 1, 2018
D•••• A•••• C•••••
PartnerLimited Partner · since Apr 1, 2022
G•• B• L•••
PartnerSole Owner · since Dec 1, 2017
S•••••• N•• F•••••••
PartnerMember · since Sep 1, 2018
H••••• J•••• S••••••
Platform and operationsGeneral Counsel; Chief Compliance Officer · since Jun 1, 2024
M•••••• A•••••• C••••••
Platform and operationsChief Financial Officer · since May 1, 2021
S••••• J••••• M•••••••
Platform and operationsChief Operating Officer; Limited Partner · since Feb 1, 2018
3 departed (kept with end dates)
- N•••• L••• · Trustee Of Guy L••• 2018 Gst Tr · Sep 1, 2018 to Jul 3, 2024 Inference
- B•••••• L••••• K••••• · Limited Partner · Jan 1, 2019 to Mar 15, 2023 Inference
- Z•••••• T•••• W••••••• · Limited Partner · Apr 1, 2022 to Mar 26, 2024 Inference
Investments on record
2 edges, 2 companies, 0 partner-attributed
| Company | Round | Role | Partner | Round size | This investor | Date | Source |
|---|---|---|---|---|---|---|---|
| B••••• t• L••• L•• | Funding round | participant | unknown | $110M | unknown | Aug 12, 2026 | Fact Press release wires (Business Wire, PR Newswire, GlobeNewswire public RSS) |
| C•••••••• T••••••••• | Series B · Series B | participant | unknown | $130M | unknown | Jul 22, 2026 | Fact Press release wires (Business Wire, PR Newswire, GlobeNewswire public RSS) |
“This investor” is the amount disclosed for this investor alone; it is unknown unless a source said it. The round size is the whole round.
Co-investors
12 relationships from shared deals, counted for the whole firm
W••••••••• M••••••••• 1 shared · one timeT••••• E••• C•••••• P••••••• 1 shared · one timeC•••••• P•••••• 1 shared · one timeS• O•• 1 shared · one timeC•••••••• A•••• M••••••••• 1 shared · one timeF•••••• L••• S••••••• 1 shared · one time · they led 1P•••••• 1 shared · one timeL••••••••• V••••••• 1 shared · one timeK••• B••••••••• F••• 1 shared · one timeH•• H••••••••• I••••••••• 1 shared · one timeP••••••••• X•••••••• V•••••• F•••• 1 shared · one timeP•••••• L••• S••••••• 1 shared · one time
Limited partners
0 disclosed
No LP commitment on record. An LP edge needs a public disclosure with a quote: a pension report (see Limited partners for the plans read), a fund announcement naming the LP, or a Form ADV owner. The fund page carries the LP’s reported performance.
Timeline
15 dated events
- Jul 3, 2024••• Locked
- Jun 1, 2024••• Locked
- Mar 26, 2024••• Locked
- Jan 1, 2024••• Locked
- Mar 15, 2023••• Locked
- Apr 1, 2022••• Locked
- Apr 1, 2022••• Locked
- May 1, 2021••• Locked
- Mar 30, 2020••• LockedFund first reported on Form ADVFundsFactS••••• B• S••• L••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Jan 1, 2019••• Locked
- Nov 6, 2018••• LockedFund first reported on Form ADVFundsFactS••••• P•••••• E••••• F••• I• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Sep 1, 2018••• Locked
- Sep 1, 2018••• Locked
- Sep 1, 2018••• Locked
- Mar 28, 2018••• LockedFirst SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Classification history
- Sep 12, 2026Private equity with venture activity (probable, 75%, cls-1)registered adviser; venture funds are 0% of 6 private funds
Evidence
35 observations from 2 sources