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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PHOENIX HOLDINGS-NC, INC.

CRD 157157

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:612b05f1-2ee1-6eb5-4e98-913e1ac1690a

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Feb 16, 2012 to Mar 28, 2013
3 observations

Across DFX

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

Private Equityidentity

Phoenix Holdings-Nc, Inc.

Private equity manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $384MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $382M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 15
Accounts: 6
Private funds: 6Schedule D 7.B(1)
Private fund GAV: $624Mgross asset value as reported per fund; never fund size
SEC number: 801-74323
CRD: 157157
Filings on the tape: 3
First filed: Feb 16, 2012
Latest filed: Mar 28, 2013
Organised: Corporation, North Carolina

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CAPITALSOUTH PARTNERS SBIC FUND III LP	Other Private Fund	$240M	Mar 28, 2013	99	Feb 16, 2012	reported	021-131463
CAPITALSOUTH PARTNERS FUND II LIMITED PARTNERSHIP	Other Private Fund	$99.4M	Mar 28, 2013	66	Feb 16, 2012	reported	021-53168

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALALA, JOSEPH, BASIL	PRESIDENT/CEO	E	yes	10/1999	Feb 16, 2012	Mar 28, 2013
BROYHILL, MARKHAM, HUNT	Partner	Na	yes	10/1999	Feb 16, 2012	Mar 28, 2013
MCGLINN, JOHN, FRANCIS	CHIEF OPERATING OFFICER	Na	yes	07/2009	Feb 16, 2012	Mar 28, 2013
MARR, MICHAEL, STEWART	CHIEF COMPLIANCE OFFICER	Na	no	07/2011	Feb 16, 2012	Mar 28, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPITALA INVESTMENT ADVISORS, LLC	n/a	Former SEC adviser	$347M	N	yes	n/a
CAPITALSOUTH PARTNERS F-II, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITALSOUTH PARTNERS F-III, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITALSOUTH PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
CAPITALSOUTH PARTNERS SBIC F-III, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITALSOUTH SBIC F-IV, LLC	n/a	n/a	n/a	N	yes	n/a
CSP INTERNATIONAL SIDE CAR FUND I, LLC	n/a	n/a	n/a	N	yes	n/a
CSP-FLORIDA MEZZANINE FUND I, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Orlando	FL	United States	n/a	no
Atlanta	Ga	United States	n/a	no
Louisville	Ky	United States	n/a	no
Raleigh	Nc	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013	$384M	$382M	15	15	n/a	6	$624M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$384M	n/a	n/a	n/a	n/a	15	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ CAPITALA INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ CAPITALSOUTH PARTNERS SBIC FUND III LPPrivate fundOther Private Fund, IA
Feb 16, 2012 to presentfactForm ADV
→ CAPITALSOUTH PARTNERS FUND II LIMITED PARTNERSHIPPrivate fundOther Private Fund, IA
Feb 16, 2012 to presentfactForm ADV

Controls (3)

← BROYHILL, MARKHAM, HUNTOwnerPARTNER, ownership code NA, individual
Feb 16, 2012 to presentfactForm ADV
← ALALA, JOSEPH, BASILOwnerPRESIDENT/CEO, ownership code E, individual
Feb 16, 2012 to presentfactForm ADV
← MCGLINN, JOHN, FRANCISOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Feb 16, 2012 to presentfactForm ADV

Owns (1)

← MARR, MICHAEL, STEWARTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 16, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:612b05f1-2ee1-6eb5-4e98-913e1ac1690a
First observed: Feb 16, 2012
Last observed: Mar 28, 2013 164 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.

PHOENIX HOLDINGS-NC, INC.

CRD 157157

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:612b05f1-2ee1-6eb5-4e98-913e1ac1690a

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CAPITALSOUTH PARTNERS SBIC FUND III LP

Other Private Fund

$240M

Mar 28, 2013

Feb 16, 2012

reported

021-131463

CAPITALSOUTH PARTNERS FUND II LIMITED PARTNERSHIP

Other Private Fund

$99.4M

Mar 28, 2013

Feb 16, 2012

reported

021-53168

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALALA, JOSEPH, BASIL

PRESIDENT/CEO

yes

10/1999

Feb 16, 2012

Mar 28, 2013

BROYHILL, MARKHAM, HUNT

Partner

yes

10/1999

Feb 16, 2012

Mar 28, 2013

MCGLINN, JOHN, FRANCIS

CHIEF OPERATING OFFICER

yes

07/2009

Feb 16, 2012

Mar 28, 2013

MARR, MICHAEL, STEWART

CHIEF COMPLIANCE OFFICER

07/2011

Feb 16, 2012

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITALA INVESTMENT ADVISORS, LLC

n/a

Former SEC adviser

$347M

yes

n/a

CAPITALSOUTH PARTNERS F-II, LLC

n/a

yes

n/a

CAPITALSOUTH PARTNERS F-III, LLC

n/a

yes

n/a

CAPITALSOUTH PARTNERS LLC

n/a

yes

n/a

CAPITALSOUTH PARTNERS SBIC F-III, LLC

n/a

yes

n/a

CAPITALSOUTH SBIC F-IV, LLC

n/a

yes

n/a

CSP INTERNATIONAL SIDE CAR FUND I, LLC

n/a

yes

n/a

CSP-FLORIDA MEZZANINE FUND I, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Orlando

United States

n/a

Atlanta

United States

n/a

Louisville

United States

n/a

Raleigh

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$384M

$382M

n/a

$624M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$384M

n/a