DFX Intelligence
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H••••••• I••••••••• P•••••••• L•
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Raleigh, NCh•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $115M
- PE fund assets
- $4.1M
- PE funds
- 4
- 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
- Placement agents 1
- RAUM $115M
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 4 of 6 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.00bn Private Equity Fund GAV on the Form ADV filed 2024-09-24
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 4 of 6 distinct vehicles are sworn P•••••• Equity Funds; 4 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 3, 2014 to Sep 9, 2026
- RAUM
- $115Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $4.1Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $400every private fund type, latest filing
- 2024 PE fund GAV
- $4.1Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 67%
- Fund type mix
- filed 2024-09-24, latest gav Private Equity Fund $4.1M, latest counts Private Equity Fund 4, lifetime distinct Other Private Fund 1, Private Equity Fund 4, Venture Capital Fund 1
- Employees
- 17
- Headquarters
- Raleigh, 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
5 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| H••••••• V• C••••••••• F••• I• L••••••••• T•••• ADV: Other P•••••• Fund | Fund of funds | 2023 first reported on Form ADV | $497,826 as of May 30, 2023 | no Form D | Wound down | |
| H••••••• E•••••••• P•••••• E••••• F•••• L•• ADV: P•••••• Equity Fund | Fund of funds | 2017 first reported on Form ADV | $3.1M as of Sep 24, 2024 | no Form D | Harvest | |
| H••••••• G••• I•• L•• ADV: P•••••• Equity Fund | Fund of funds | 2016 first reported on Form ADV | $535,602 as of Sep 24, 2024 | no Form D | Harvest | |
| H••••••• G••••• P•••••• E••••• P••••••• I••••••••• L•• ADV: P•••••• Equity Fund | Fund of funds | 2016 first reported on Form ADV | $386,307 as of Sep 24, 2024 | no Form D | Harvest | |
| H••••••• G••• F•••• L••• ADV: P•••••• Equity Fund | Fund of funds | 2014 first reported on Form ADV | $79,401 as of Sep 24, 2024 | no Form D | Harvest |
Team
5 current, 11 former
Managing partner (1)
- M•••••• F•••••• L•• · President Of Distribution, Limited Partner · since Jan 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (2)
- D•••• B•••• P•••••• · Member · since Jan 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T••••• P•••••• R•••••• · Chief Investment Officer · since Mar 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- A•••••• C••••••••• Z••••••••• · Chief Financial Officer · since Jan 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- B••••••• L••• M••••••• · Director Of Operations · since Sep 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
11 former (kept with end dates)
- R••••• L••••• W••••••••• · President · Mar 1, 2014 to Mar 2, 2016 Inference
- J•••••• R•••••••• S•••••••• · Head Of Operations · Jan 1, 2018 to Oct 11, 2019 Inference
- N••••••• S•••• S••••••• · Member / Control Person / Shareholder · Feb 1, 2014 to Mar 2, 2016 Inference
- R••••• B•••• B•••• · Managing Director Of Business Strategy · Apr 1, 2017 to Mar 30, 2020 Inference
- A••••• P••• C•••• · Cco · Mar 1, 2014 to Nov 3, 2020 Inference
- J•••• M•••••• F••••• · Coo · Mar 1, 2014 to Apr 22, 2016 Inference
- M••• J••••• D•••••••• · Cco · Nov 1, 2020 to Oct 11, 2021 Inference
- R••••• L•••• B•••• · Cfo · Mar 1, 2014 to Nov 5, 2018 Inference
- W•••••• H•••••••• W••••••••• · Chief Compliance Officer · May 1, 2021 to Nov 29, 2022 Inference
- Y••••• I• P••••• · Chief Compliance Officer · Oct 1, 2022 to May 9, 2024 Inference
- M•••••• P•••••• H••••• · Director Of Investment Management · Jun 1, 2016 to Mar 30, 2020 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
1 relationships
Placement agents (1)
- H••••••• C•••••• 4 shared · strong · last Jan 1, 2024
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
- Mar 3, 2014••• Locked
Across the graphs
H••••••• I••••••••• P•••••••• L• is the same institution as 3 records in Venture Capital, Independent Sponsors and RIA and Wealth.
Venture Capital1Independent Sponsors1RIA and Wealth1
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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