DFX Intelligence
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Firms / C•••••• C•••••• M••••••••• L•••
C•••••• C•••••• M••••••••• L•••
••• Locked
registered adviser; venture funds are 5% of 5 private funds
Importance
3
low
Active deployment
0
low
Emerging
0
low
Completeness
50
elevated
Freshness
97
high
Research priority
1
low
Identity and regulatory footprint
- Headquarters
- unknown
- Office address
- unknown
- Business phone
- ••• Lockeda•••••••••.s••.gov
- Website
- c•••••••••.com
- SEC adviser type
- registered investment advisera•••••••••.s••.gov
- SEC exemption claimed
- unknown
- Latest Form ADV
- Mar 27, 2024
- Private funds reported
- 5 (1 venture capital funds)a•••••••••.s••.gov
- Private fund gross assets
- $933Ma•••••••••.s••.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
- Regulatory AUM
- $1.1Bthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 19
- Owners on Schedule A
- S••••• F••••••••• L•• (General Partner), NA; T•• R••••• C•••••• I••••••••• T•••• (Member), D; T•• E••••• C•••••• I••••••••• T•••• (Member), D; W••••••••• L•• (Limited Partner), B
- business email
- ••• Lockedc•••••••••.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
- not stated
- 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
1 reported
| Vehicle | Type | Vintage | Lifecycle | Reported GAV | Owners | Form D sold | Latest Form D |
|---|---|---|---|---|---|---|---|
| C•••••• O••••••••• M••••• F•••• L••• | Opportunity fund | 2016 adv first reported | Harvest | $11.7M Mar 27, 2024 | 44 | 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
6 current, 9 departed
E••••• M•••••• C••••••
Board or advisoryTrustee · since Jul 1, 2015
R••••• J••• C••••••
Board or advisoryTrustee · since Jul 1, 2014
J••• T•••••••
PartnerSole Member And Manager · since Nov 1, 2023
A••••• P•••••
Platform and operationsChief Compliance Officer And Vp Of Finance & Accounting · since Jun 1, 2014
R••••• D••••
Platform and operationsChief Technology Officer · since Jan 1, 2020
S•• D• Y••
Platform and operationsChief Financial Officer · since Aug 1, 2023
9 departed (kept with end dates)
- G••••••• E•••• B•••• · Trustee · Jul 1, 2015 to Feb 23, 2018 Inference
- A••• M••••• P•• · Member (C•••••• Rp Gp, Llc) · Dec 1, 2016 to Feb 23, 2018 Inference
- D••••• J••• K••••• · Member (C•••••• O••••••••• Gp, Llc) · Jul 1, 2015 to Feb 23, 2018 Inference
- J••••••• D•••• C••••• · Member (C•••••• O••••••••• Gp, Llc) · Jul 1, 2015 to Feb 23, 2018 Inference
- K•••• M•••••• · Member (C•••••• O••••••••• Gp, Llc) · Jul 1, 2015 to Feb 23, 2018 Inference
- M••••• C• P•• · Member (C•••••• Rp Gp, Llc) · Dec 1, 2016 to Feb 23, 2018 Inference
- J••••••• S••••• · Chief Operating Officer · Jul 1, 2015 to May 8, 2018 Inference
- N••••••• a• C••••••• · Chief Financial Officer · Jul 1, 2012 to Mar 31, 2017 Inference
- T••••• M•••••• M•••• · Chief Financial Officer; Chief Operating Officer · Dec 1, 2016 to Mar 30, 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
24 dated events
- Aug 1, 2023••• Locked
- Mar 30, 2023••• Locked
- Jan 1, 2020••• Locked
- Aug 1, 2019••• Locked
- May 8, 2018••• Locked
- Feb 23, 2018••• Locked
- Feb 23, 2018••• Locked
- Feb 23, 2018••• Locked
- Feb 23, 2018••• Locked
- Feb 23, 2018••• Locked
- Feb 23, 2018••• Locked
- Mar 31, 2017••• Locked
- Dec 1, 2016••• Locked
- Dec 1, 2016••• Locked
- Dec 1, 2016••• Locked
- Feb 26, 2016••• LockedFund first reported on Form ADVFundsFactC•••••• O••••••••• M••••• F•••• L•••SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Jul 1, 2015••• Locked
- Jul 1, 2015••• Locked
- Jul 1, 2015••• Locked
- Jul 1, 2015••• Locked
- Jul 1, 2015••• Locked
- Jun 1, 2014••• Locked
- Jul 1, 2012••• Locked
- Apr 2, 2012••• 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 5% of 5 private funds
Evidence
44 observations from 2 sources