DFX Intelligence

S••••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••••••• S•••••••• L••

CRD 319155

CHAPEL HILL, NC

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Search this name across graphsid dfx:ria:34051073-42f1-29ab-28a4-c71d226ae9a6

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 2
Observed: Mar 31, 2023 to Apr 1, 2026
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••••••• S•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S••••••••• S•••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.6 fund_share=0.4 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $133M••• Locked
Discretionary RAUM: $133M
Private client RAUM: $80.0Mderived••• Locked
Private client share: 60%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••• F•••• P••••••• L••	Private Equity Fund	$13.6M	Apr 3, 2024	4	Mar 31, 2023	reported	n/a
K••• E•••• P••••••• L••	Private Equity Fund	$13.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• J•••• D••••	MANAGING MEMBER, CCO	E	yes	09/2005	Mar 31, 2023	Apr 3, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$133M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Advises (4)

→ U••••• S••••• G••••• P••••••• L••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ T•• I•••••••• F••• L••Private fundOther Private Fund, IA
Feb 23, 2022 to presentfactForm ADV
→ C••••••• F•••• P••••••• L••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ K••• E•••• P••••••• L••

Dated events

Occurred
Mar 31, 2023
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34051073-42f1-29ab-28a4-c71d226ae9a6
First observed: Mar 31, 2023
Last observed: Apr 1, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.