DFX Intelligence
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Firms / S••••• A•••••••
S••••• A•••••••
Private equity with venture activity · probableNew York, NYs•••••.comSEC registered investment adviser
registered adviser; venture funds are 0% of 8 private funds
Importance
19
moderate
Active deployment
0
low
Emerging
0
low
Completeness
50
elevated
Freshness
100
high
Research priority
5
low
Identity and regulatory footprint
- Headquarters
- New York, NYa•••••••••.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
- Oct 1, 2024
- Private funds reported
- 8 (0 venture capital funds)a•••••••••.s••.gov
- Private fund gross assets
- $1.3Ba•••••••••.s••.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
- Regulatory AUM
- $572Mthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 7
- business email
- ••• Lockeds•••••.compublished by the subject
- business phone
- ••• Lockeda•••••••••.s••.govpublished by the subject
Stated thesis versus observed behaviour
no observed deals yet
Stated (the firm’s website)
- Sectors
- not stated or not yet read
- Stages
- not stated or not yet read
- Geography
- new york
- Check size
- not stated; DFX does not estimate checks from round sizes
Observed (from deals on record)
Stage at participation: no observed deals yet
Stage at first entry: no observed deals yet
Sectors: no observed deals yet
lead rate n/afollow-on rate n/anew logos, 12 months 0
Funds and vehicles
4 reported, 5 no longer reported
| Vehicle | Type | Vintage | Lifecycle | Reported GAV | Owners | Form D sold | Latest Form D |
|---|---|---|---|---|---|---|---|
| S••••• C•••••• I• ••••••• L• | Feeder or parallel · ADV: Private Equity Fund | 2017 adv first reported | Harvest | $33.5M Oct 1, 2024 | 11 | unknown | unknown |
| S••••• C•••••• I• ••• L• | Fund · ADV: Private Equity Fund | 2017 adv first reported | Harvest | $4.4M Oct 1, 2024 | 7 | unknown | unknown |
| S••••• C•••••• I•• ••• L••• | Fund · ADV: Private Equity Fund | 2013 form d first sale | Harvest | $327,840 Oct 1, 2024 | 6 | $2.5M | Jul 8, 2013 |
| S••••• C•••••• I•• ••••••• L••• | Feeder or parallel · ADV: Private Equity Fund | unknown | Unknown | $3.9M Oct 1, 2024 | 20 | unknown | unknown |
| S••••• C•••••••• I• L•••••• | SPV or co-invest vehicle · ADV: Private Equity Fund | unknown | Wound down | $7.2M Mar 31, 2015 | 6 | unknown | unknown |
| S••••• C•••••• I• ••••••• L••• | Feeder or parallel · ADV: Private Equity Fund | unknown | Wound down | $834,792 Mar 11, 2021 | 17 | unknown | unknown |
| S••••• C•••••• ••••••• L••• | Feeder or parallel · ADV: Private Equity Fund | unknown | Wound down | $492,452 Mar 28, 2019 | 18 | unknown | unknown |
| S••••• C•••••• I• ••• L••• | Fund · ADV: Private Equity Fund | unknown | Wound down | $99,145 Mar 11, 2021 | 9 | unknown | unknown |
| S••••• C•••••• ••• L••• | Fund · ADV: Private Equity Fund | unknown | Wound down | $78,759 Mar 28, 2019 | 9 | unknown | unknown |
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
2 current, 2 departed
J•••• B••••• F••••••••
PartnerManager · since Feb 1, 2010
A••••• E•••••• D•••• N••••
Platform and operationsChief Financial Officer And Chief Compliance Officer · since Oct 1, 2024
2 departed (kept with end dates)
- C•••••• S• K••• · Chief Financial Officer And Chief Compliance Officer · Jul 1, 2023 to Oct 1, 2024 Inference
- G•••••• L•••••• · Chief Financial Officer, Chief Compliance Officer · Nov 1, 2016 to Jul 20, 2023 Inference
Investments on record
0 edges, 0 companies, 0 partner-attributed
No investment on record yet. Edges arrive from the firm’s portfolio page, financing announcements, and Form D board seats.
Co-investors
0 relationships from shared deals, counted for the whole firm
No co-investor relationship yet: these are derived only from rounds and portfolio listings the graph has seen both investors on.
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
20 dated events
- Oct 1, 2024••• Locked
- Oct 1, 2024••• Locked
- Jul 20, 2023••• Locked
- Jul 1, 2023••• Locked
- Mar 9, 2022••• LockedFund no longer reportedFundsInferenceS••••• C•••••• I• ••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 9, 2022••• LockedFund no longer reportedFundsInferenceS••••• C•••••• I• ••••••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 6, 2020••• LockedFund no longer reportedFundsInferenceS••••• C•••••• ••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 6, 2020••• LockedFund no longer reportedFundsInferenceS••••• C•••••• ••••••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 22, 2017••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I• ••••••• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 22, 2017••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I• ••• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Nov 1, 2016••• Locked
- Mar 4, 2016••• LockedFund no longer reportedFundsInferenceS••••• C•••••••• I• L••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••••• I• L••••••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I•• ••••••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I•• ••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I• ••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• I• ••••••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• ••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFirst SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Feb 24, 2014••• LockedFund first reported on Form ADVFundsFactS••••• C•••••• ••••••• L•••SEC 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 8 private funds
Evidence
49 observations from 2 sources