DFX Intelligence
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O•• W••• P•••••••• L••
CandidateClassification candidateLower middle marketSEC registered investment adviser· Charlotte, NCo•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $384M
- PE fund assets
- $82.3M
- PE funds
- 3
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 3
- RAUM $384M
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 3 Private Equity Fund(s) among 7 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.08bn Private Equity Fund GAV on the Form ADV filed 2024-08-22
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 3 Private Equity Fund(s) among 7 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Oct 21, 2016 to Jan 30, 2026
- RAUM
- $384Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 3
- PE fund GAV, latest filing
- $82.3Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $111Mevery private fund type, latest filing
- 2024 PE fund GAV
- $82.3Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 43%
- Fund type mix
- filed 2024-08-22, latest gav Hedge Fund $302M, Private Equity Fund $82.3M, latest counts Hedge Fund 4, Private Equity Fund 3, lifetime distinct Hedge Fund 4, Private Equity Fund 3
- Employees
- 3
- Headquarters
- Charlotte, NC
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- not stated or not yet read
- Revenue
- not stated or not yet read
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- not stated or not yet read
Observed from deals on record
Nothing observed yet. Behaviour is computed from transactions and portfolio relationships, which have not been collected for this firm.
Funds
3 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| O•• W••• S•••••• O••••••••• F••• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $2.0M as of Aug 22, 2024 | no Form D | Unknown | |
| O•• W••• S•••••• O••••••••• F••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $4.4M as of Aug 22, 2024 | no Form D | Unknown | |
| O•• W••• S•••••• O••••••••• F••• I• L•• ADV: Private Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $75.9M as of Aug 22, 2024 | no Form D | Mature |
Team
2 current, 2 former
Managing partner (1)
- C••••••• W••••• · Chief Executive Officer, Chief Compliance Officer And Managing Member · since Oct 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- M•••• N••••• W•••• · Chief Operating Officer · since Mar 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
2 former (kept with end dates)
- B•••• P•••••• S•••• · Chief Technology Officer · Jan 1, 2018 to Mar 23, 2023 Inference
- M•••••• P••••• K•••• · Chief Compliance Officer And Chief Financial Officer · Feb 1, 2016 to Jul 5, 2024 Inference
Portfolio
0 relationships, 0 platforms, 0 add-ons
No portfolio relationship collected for this firm yet. They arrive from the firm’s portfolio page, deal announcements and filings.
Transactions
0 on record
No transaction naming this firm has been collected yet. The deal tape is read from SEC filings and cited announcements.
Placement agents, lenders, advisers and co-investors
0 relationships
No counterparty collected yet. These are counted from transactions that name both this firm and the other party, and from placement agents on this firm’s funds.
LP commitments
0 disclosed
No LP commitment collected yet. An LP edge needs a public disclosure with a quote, such as a pension plan’s report or an announcement naming the LP.
Events
1 most recent
- Oct 21, 2016••• Locked
Across the graphs
O•• W••• P•••••••• L•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Allocators.
Independent Sponsors1RIA and Wealth1Allocators1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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