DFX Intelligence
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C••••• C•••••• M•••••••••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Charlotte, NC
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $1.4B
- PE fund assets
- $657M
- PE funds
- 15
- Investments held
- 0 of 5
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Sectors automotive,financial_servicesGeography Global
- Latest Form D Oct 1, 2025
- Graphs 3
Classification
How this organization is classified, and on what basisBuyout firm · 2 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- 21 of 27 distinct vehicles are sworn Private Equity Funds; 21 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.66bn Private Equity Fund GAV on the Form ADV filed 2026-03-31
- Strategies
- Private credit
Classification history (2)
- Sep 23, 2026Buyout firm (confirmed, 85%)21 of 27 distinct vehicles are sworn Private Equity Funds; 21 reported gross assets on a filing in 2022 or later
- Sep 13, 2026Buyout firm (confirmed, 85%)16 of 22 distinct vehicles are sworn Private Equity Funds; 16 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- Registered investment adviser
- Form ADV filings
- Aug 1, 2013 to Mar 31, 2026
- RAUM
- $1.4Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 15
- PE fund GAV, latest filing
- $657Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $744Mevery private fund type, latest filing
- 2024 PE fund GAV
- $709Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 78%
- Fund type mix
- Private equity fund: 15 funds, $657M reported gross assets, 21 ever reported
- Hedge fund: 2 funds, $86.1M reported gross assets, 6 ever reported
- Employees
- 13
- Headquarters
- Charlotte, NC
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
5 observed deals
Stated by the firm
- Sectors
- Automotive, financial services
- Geography
- Global
- 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
- ••• Locked
Observed from deals on record
- On record
- 5 companies, 5 holdings
- Most deals
- Financial services (2 of 5, e.g. Specialty Finance and Specialty Finance Investments)
- Subsectors
- Financial services (2 of 5)
- Deal roles
- 5 with role not stated
- Control
- 5 not stated
5 companies on the graph (0 transactions); most in financial services (2); no dated observations
Funds
22 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C••••• C•••••• E••••••••• L•••••• I•••• L• ADV: Private Equity Fund | Credit fund | 2025 Form D first sale | $70.5M as of Mar 31, 2026 | $75.0M | Unknown | |
| C••••• C•••••• A•• I•• O•••••••• L• ADV: Private Equity Fund | Feeder or parallel | 2024 Form D first sale | $22.2M as of Mar 31, 2026 | $20.4M | Unknown | |
| C••••• C•••••• A•• I••• L• ADV: Private Equity Fund | Feeder or parallel | 2024 Form D first sale | $15.9M as of Mar 31, 2026 | $33.8M | Unknown | |
| C•• I•• F•••••• • 1• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $19.6M as of May 25, 2023 | no Form D | Wound down | |
| C•• M•• F•••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $4.7M as of Mar 31, 2026 | no Form D | Harvest | |
| C••••• C•••••• C•••• O••••••••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $47.8M as of Mar 31, 2026 | $66.2M | Mature | |
| C••••• C•••••• A••••••• O••••••••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $25.4M as of Mar 31, 2026 | $18.6M | Harvest | |
| C••••• C•••••• C•••• O••••••••• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $22.4M as of Mar 31, 2026 | $44.0M | Harvest | |
| C••• C•••••••• 1• L•• ADV: Private Equity Fund | Co-investment vehicle | 2021 Form D first sale | $15.4M as of May 25, 2023 | $29.0M | Wound down | |
| C••••• C•••••• A••••••• O••••••••• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $693,660 as of Mar 31, 2026 | no Form D | Harvest | |
| C•• A••••••• P••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2020 first reported on Form ADV | $32.7M as of Mar 28, 2024 | no Form D | Active deployment | |
| C•• S••••• F•••••• 2••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2020 year in the fund name | $18.6M as of Mar 28, 2024 | no Form D | Early deployment | |
| C••••• C•••••• A••••••• O••••••••• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | 2020 Form D first sale | $1.9M as of Mar 31, 2026 | $20.0M | Harvest | |
| C••••• C•••••• A••••••• P••••••• I•• L• ADV: Private Equity Fund | buyout or unlabelled | 2019 Form D first sale | $21.5M as of Mar 31, 2026 | $35.0M | Unknown | |
| C••••• C•••••• A••••••• I•••••••• 2•••• L• ADV: Private Equity Fund | buyout or unlabelled | 2018 Form D first sale | $163M as of Mar 31, 2026 | $270M | Unknown | |
| C••••• C•••••• A••••••• P•••••••• L• ADV: Private Equity Fund | buyout or unlabelled | 2017 first reported on Form ADV | $154M as of Mar 31, 2026 | no Form D | Unknown | |
| C••••• C•••••• T•••• F•••••• F•••• L• ADV: Hedge Fund | buyout or unlabelled | 2017 Form D first sale | $42.5M as of Mar 31, 2026 | no Form D | Harvest | |
| C•• A••••••• H••••••• 1• L•• ADV: Private Equity Fund | buyout or unlabelled | 2017 first reported on Form ADV | $5.0M as of Jan 13, 2022 | no Form D | Wound down | |
| C•• A••••••• H••••••• 2• L•• ADV: Private Equity Fund | buyout or unlabelled | 2017 first reported on Form ADV | $600,692 as of Mar 28, 2024 | no Form D | Harvest | |
| C••••• C•••••• R••• A••••• F•••• L• ADV: Private Equity Fund | Fund of funds | 2015 first reported on Form ADV | $21.7M as of Mar 31, 2026 | no Form D | Mature | |
| C••••• C•••••• E••••••••• L•••••• I•••• L• ADV: Private Equity Fund | Credit fund | unknown | $70.5M as of Mar 31, 2026 | $0 | Unknown | |
| C••••• C•••••• S••••• F•••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $14.6M as of Mar 31, 2026 | $0 | Unknown |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
5 current, 7 former
Partner (1)
- J•••• C••••••••• C••••••• · Member · since Apr 1, 2017 Form ADV
Board or advisory (2)
- J••••••• M••••• · Trustee · since Sep 1, 2009 Form ADV
- S•••••••• M••••••• M••••• · Trustee · since Sep 1, 2009 Form ADV
Platform (2)
- A•• R•••• P••••• · Chief Compliance Officer · since Jan 1, 2022 Form ADV
- R•••••• M••• R••••• · Chief Financial And Operating Officer · since Jul 1, 2014 Form ADV
7 former (kept with end dates)
- A•••••• R••••• K•••••• · Managing Director · Dec 1, 2013 to Mar 14, 2016 Inference
- C•••••••• A••• T•• · Partner · Dec 1, 2013 to Apr 6, 2015 Inference
- D••••• E•• H• M••••••••• · Managing Director · Dec 1, 2013 to Mar 9, 2015 Inference
- E•••• A••••• R••••••• · Managing Director · Jul 1, 2014 to Mar 14, 2016 Inference
- J••• A••••• F••••• · Managing Director · Jul 1, 2013 to Mar 14, 2016 Inference
- M•••••• D••• F•••••• · Elected Manager · Jul 1, 2013 to Jul 19, 2016 Inference
- R••• C•••••• K•••••• · Managing Director · Jul 1, 2013 to Mar 26, 2014 Inference
Portfolio
5 relationships, 0 platforms, 0 add-ons
| Company | Role | Status | Invested | Held | Partner | Source |
|---|---|---|---|---|---|---|
| A••••••• | Role unknown | unknown | unknown | unknown | unknown | Fact Firm website |
| A••••••• I••••••••• | Role unknown | unknown | unknown | unknown | unknown | Fact Firm website |
| M••••••••• | Role unknown | unknown | unknown | unknown | unknown | Fact Firm website |
| S•••••••• F•••••• | Role unknown | unknown | unknown | unknown | unknown | Fact Firm website |
| S•••••••• F•••••• I••••••••• | Role unknown | unknown | unknown | unknown | unknown | Fact Firm website |
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
7 relationships
Placement agents (7)
- G••••••• C•••••• L•• 8 shared · very strong · last Jan 1, 2022
- H•••••••• A••••••••• L•• 5 shared · very strong · last Jan 1, 2022
- L••• S••••••••• 5 shared · very strong · last Jan 19, 2022
- P••••••• C•••••• P•••••••• L•• 2 shared · recurring · last Oct 1, 2025
- M••••• P•••• C••••••• L•• 2 shared · recurring · last Dec 6, 2024
- R•• I••••••••• L•• 1 shared · one time · last Jan 1, 2015
- O•• C••• S••••••••• L•• 1 shared · one time · last Sep 10, 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
2 most recent
Across the graphs
C••••• C•••••• M••••••••• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Private Credit.
Independent Sponsors1RIA and Wealth1Private Credit1
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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