DFX Intelligence
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Firms / P••••••••• C•••••• L••
P••••••••• C•••••• L••
Private equity with venture activity · probableNew York, NYp•••••••••.comSEC registered investment adviser
••• Locked
registered adviser; venture funds are 0% of 4 private funds
Importance
17
moderate
Active deployment
0
low
Emerging
0
low
Completeness
56
elevated
Freshness
97
high
Research priority
4
low
Identity and regulatory footprint
- Headquarters
- New York, NYa•••••••••.s••.gov
- Office address
- ••• Lockeda•••••••••.s••.gov
- Business phone
- ••• Lockeda•••••••••.s••.gov
- Website
- p•••••••••.com
- SEC adviser type
- registered investment advisera•••••••••.s••.gov
- SEC exemption claimed
- unknown
- Latest Form ADV
- May 13, 2024
- Private funds reported
- 4 (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
- $1.4Bthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 18
- Owners on Schedule A
- B•• A•••• I••••••••• L• (Owner), B; P••••••••• F••••••• H••••••• L•• (Owner), E
- business email
- ••• Lockedp•••••••••.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
- boston, 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
1 reported, 1 no longer reported
| Vehicle | Type | Vintage | Lifecycle | Reported GAV | Owners | Form D sold | Latest Form D |
|---|---|---|---|---|---|---|---|
| P• M•• L• | Fund · ADV: Private Equity Fund | 2017 adv first reported | Harvest | $66.7M May 13, 2024 | 8 | $0 | Jul 1, 2019 |
| P••••••••• P••••••• I• L• | Fund · ADV: Private Equity Fund | unknown | Wound down | $0 Aug 4, 2023 | 0 | 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
20 current, 1 departed
C•••••• B••••
Board or advisorySenior Advisor
H••••• S••••
Founder or executiveChief Executive Officer
T•• H•••••••
Investor relationsVice President - Investor Relations and
A•••• K•••
PartnerChief Investment Officer
A•••• K•••
PartnerMember · since Apr 1, 2020
A••••• N•
PartnerManaging Director - Risk Management,
H••••• N• S••••
PartnerMember · since Apr 1, 2020
M•••• S•••••••
PartnerPortfolio Manager
S••• T•••••••
PartnerManaging Director - IP Investments,
W••• W••••••
PartnerManaging Director - Commercial Litigation, Corporate Counsel
Y••••• L••
PartnerManaging Director - IP Investments, Corporate Counsel
D•••• I••••••
Platform and operationsChief Operating Officer · since Apr 1, 2014
D•••• I••••••
Platform and operationsChief Operating Officer,
D•••• N•••
Platform and operationsManaging Director - Finance
M••• S••••••
Platform and operationsSenior Controller
T••••• C•••••
Platform and operationsChief Compliance Officer, Deputy General Counsel
T••••• L••• C•••••
Platform and operationsChief Compliance Officer · since Jun 1, 2023
T••• G••••
Platform and operationsSenior Controller
J••• S••••
PrincipalDirector - Risk Analytics
B••••••• L••••••
Vice presidentVice President
1 departed (kept with end dates)
- J••• L•• S•••• · Chief Compliance Officer · Jan 1, 2021 to Aug 4, 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
7 dated events
- Mar 28, 2024••• LockedFund no longer reportedFundsInferenceP••••••••• P••••••• I• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Aug 4, 2023••• Locked
- Jun 1, 2023••• Locked
- Jan 1, 2020••• Locked
- Mar 31, 2017••• LockedFund first reported on Form ADVFundsFactP• M•• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Jul 28, 2015••• LockedFirst SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Jul 28, 2015••• LockedFund first reported on Form ADVFundsFactP••••••••• P••••••• I• 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 4 private funds
Evidence
41 observations from 2 sources