Dfw Management Corporation

DFW Capital Management, LLC, established in 1994, specializes in providing investment advisory services to private equity investment funds focused on healthcare, business and industrial services, and specialty pharmaceuticals. The firm, with $2.2 billion in assets under management as of December 31, 2024, primarily serves institutional investors, pension plans, and high net worth individuals. DFW charges asset-based management fees, payable quarterly, and does not participate in wrap fee programs. The firm may receive compensation from portfolio companies for advisory services, with a portion used to offset management fees. Clients should be aware of the risks involved, including long-term investments, reliance on portfolio company management, and illiquidity. DFW's investment strategies focus on control investments in lower middle market companies, emphasizing unique competencies and technology-driven services. The firm maintains a Code of Ethics and Insider Trading Policy to ensure ethical conduct and supervises personal securities transactions of employees. DFW exercises investment discretion over client accounts, subject to specified guidelines. Client funds and securities are held by independent custodians, and the firm provides regular reports and audited financial statements to clients. DFW does not pay referral fees, and clients do not pay placement fees. The firm acts as a fiduciary and does not have any disciplinary history.