DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

H••••••• I••••••••• P•••••••• L•

CRD 170628

RALEIGH, NC

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Search this name across graphsid dfx:ria:bab39e70-948b-a7e9-3530-f5971674164a

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 11
On other graphs: 3
Observed: Mar 3, 2014 to Sep 9, 2026
40 observations

Across DFX

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

Venture Capitalidentity

H••••••• I••••••••• P•••••••• L•

Venture manager · key cik, key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

H••••••• I••••••••• P•••••••• L•

Capital provider to sponsors · key cik, key crd, key sfn adviser, shared crd

Private Equityidentity

H••••••• I••••••••• P•••••••• L•

Private equity manager · key cik, key crd, key sfn adviser, shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $115M••• Locked
Discretionary RAUM: $500
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $23.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• B•••• P••••••	n/a	RALEIGH, NC	8	38	5	yes
P•••••• A••• J• W••••••	n/a	RALEIGH, NC	4	12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••••••• L••• S•••• V• F••• I• L•••	Venture Capital Fund	$2.3M	Nov 3, 2020	32	Mar 29, 2012	dropped	021-108614
H••••••• V• C••••••••• F••• I• L••••••••• T••••	Other Private Fund	$497,826

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• B•••••••• L•••	DIRECTOR OF OPERATIONS	Na	yes	09/2019	Mar 29, 2021	Sep 24, 2024
H•• M••••••••• L••	GENERAL PARTNER	Na	yes	01/2016	Mar 2, 2016	Sep 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• C•••••• D••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$115M	$188M	-38.9%	$670M	-44.5%	9	12	0	0

Relationships

Advises (6)

→ H••••••• E•••••••• P•••••• E••••• F•••• L••Private fundPrivate Equity Fund, IA
Mar 31, 2017 to presentfactForm ADV
→ H••••••• G••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ H••••••• G••• I•• L••Private fundPrivate Equity Fund, IA
Mar 2, 2016 to presentfactForm ADV
→ H••••••• G••••• P•••••• E••••• P••••••• I••••••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 9, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-434M
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bab39e70-948b-a7e9-3530-f5971674164a
First observed: Mar 3, 2014
Last observed: Sep 9, 2026 14 days 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.