DFX Intelligence
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S•• M••••••••• S•••••••• L••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Charlotte, NCs•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $624M
- PE fund assets
- $496M
- PE funds
- 5
- Investments held
- 24 of 24
- 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
- EBITDA $4.0M to $15.0MRevenue $20.0M to $150MControl control
- Graphs 3
- Placement agents 1
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 9 of 13 distinct vehicles are sworn Private Equity Funds; 5 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.50bn Private Equity Fund GAV on the Form ADV filed 2024-04-30
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 9 of 13 distinct vehicles are sworn Private Equity Funds; 5 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Apr 24, 2012 to Mar 27, 2026
- RAUM
- $624Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 5
- PE fund GAV, latest filing
- $496Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $624Mevery private fund type, latest filing
- 2024 PE fund GAV
- $496Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 69%
- Fund type mix
- filed 2024-04-30, latest gav Other Private Fund $7.4M, Private Equity Fund $496M, latest counts Other Private Fund 4, Private Equity Fund 5, lifetime distinct Other Private Fund 4, Private Equity Fund 9
- Employees
- 20
- Headquarters
- Charlotte, NC
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
24 observed deals
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- not stated or not yet read
- Revenue
- $20.0M to $150M
- EBITDA
- $4.0M to $15.0M
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- control
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 24
- period
- to unknown, from unknown, undated holdings 24, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 24
- companies
- 24
- geography
- investments
- 24
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 2
- disclosed value usd
- n 0
- sector distribution
- count 2, share 0.083, value industrial manufacturing, examples NSI Industries, LLC, Parkline
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 1, share 0.042, value electrical equipment, examples NSI Industries, LLC, count 1, share 0.042, value miscellaneous manufacturing, examples Parkline
24 companies on the graph (0 transactions); most in industrial manufacturing (2); no dated observations
Funds
13 on record, 1 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S••••• P••• I•• L• ADV: Private Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $236M as of Apr 30, 2024 | no Form D | Early deployment | |
| S••• 2••• C••••••••• L•• ADV: Other Private Fund | Co-investment vehicle | 2022 year in the fund name | $954,000 as of Apr 30, 2024 | no Form D | Unknown | |
| S••••• P••• I•• B• L• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $44.9M as of Apr 30, 2024 | no Form D | Unknown | |
| S••• 2••• C• I•••••• L•• ADV: Other Private Fund | SPV | 2021 year in the fund name | $3.4M as of Apr 30, 2024 | no Form D | Early deployment | |
| S••• 2••• C•••••••• ADV: Other Private Fund | Co-investment vehicle | 2020 year in the fund name | $1.2M as of Apr 30, 2024 | no Form D | Unknown | |
| S••••• P••• I••• L• ADV: Private Equity Fund | buyout or unlabelled | 2019 first reported on Form ADV | $188M as of Apr 30, 2024 | no Form D | Successor fundraising | |
| S••• 2••• C•••••••• a• ADV: Other Private Fund | Co-investment vehicle | 2019 year in the fund name | $1.8M as of Apr 30, 2024 | no Form D | Unknown | |
| S••••• P••• I•• L••• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $23.9M as of Apr 30, 2024 | no Form D | Harvest | |
| N•• S••••• P••• I••••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $20.7M as of Aug 2, 2016 | no Form D | Wound down | |
| C•••••• 3• C••••• I••••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $23.8M as of Mar 25, 2015 | no Form D | Wound down | |
| S••••• P••• I••• L••• ADV: Private Equity Fund | Feeder or parallel | unknown | $4.2M as of Apr 30, 2024 | no Form D | Harvest | |
| P••••••• S• I••••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $2.4M as of Aug 2, 2016 | no Form D | Wound down | |
| S•• I••••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $125,000 as of Apr 24, 2012 | no Form D | Wound down |
Gross assets by year from the annual reporting tape
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| S••••• P••• I•• B• L••• | Private Equity Fund | 2026 to 2026 | $27.9M filed Mar 27, 2026 | reports.adviserinfo.sec.gov |
Team
27 current, 1 former
Managing partner (2)
- B•• C••••• · Managing Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J•• J•••••• · Managing Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Partner (3)
- A••••• G•••••• · Partner · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J•••• L•• J•••••• · Manager (Of Registrant) · since Jul 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R••••• G••••• C••••• · Manager (Of Registrant) · since Jul 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (3)
- A••• S•••••••• · Principal · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- C•••••• G•••••• · Principal · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- S•••••• S••••• · Principal · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Vice president (2)
- C•••• S•••• · Senior Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J•• M••••••• · Vice President · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Associate (4)
- G•••••• S••••••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J••• S••••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J••• H••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J••• C••••• · Associate · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Operating partner (3)
- C•••• C••••• · Operating Partner, Finance; CCO · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- M•••• H•••••••• · Operating Partner, Talent · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- T•• D••••• · Operating Partner, Growth & Innovation · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Business development (3)
- M•••• E••••• · Senior Associate, Business Development · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- N•••• B••••• · Senior Associate - Business Development and Marketing · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- P••••• W•••••• · Vice President, Business Development · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
Platform (7)
- B•• M••••• · C••••••ler · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- C••••••••• K•••• C••••• · Chief Compliance O•••••r · 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)
- E•••••••• A•••••••• · Executive Assistant and O••••• Manager · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- G••• M••••• · Talent Coordinator · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- J•••• W••••• · Director of Finance · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- N••• D••••• · Assistant C••••••ler · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
- R••••• H••••• · Partner & COO · start date unknown I•••••ment organization websites (team, portfolio, strategy, criteria, news)
1 former (kept with end dates)
- J••••• L•• · Member (Relying Adviser) · Dec 1, 2012 to Mar 30, 2018 Inference
Portfolio
24 relationships, 0 platforms, 0 add-ons
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)
- A••••••• C•••••• G••••• L•• 1 shared · one time · last Jan 1, 2023
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
- Apr 24, 2012••• Locked
Across the graphs
S•• M••••••••• S•••••••• 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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