DFX Intelligence
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B••••••• A•••• M••••••••• L••
Hybrid managerClassification probableunsizedSEC registered investment adviser· Charlotte, NCb•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $205M
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Equity cheque from $275MSectors safety_securityGeography Global
- Graphs 3
- RAUM $205M
Classification
How this organization is classified, and on what basisHybrid manager · 2 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 4 of 12 distinct vehicles; hedge, securitized or liquidity vehicles 5
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (2)
- Sep 23, 2026Hybrid manager (probable, 65%, cls-pe-2)R4: Private Equity Funds are 4 of 12 distinct vehicles; hedge, securitized or liquidity vehicles 5
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 4 Private Equity Fund(s) among 11 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Jan 20, 2012 to Mar 13, 2026
- RAUM
- $205Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- $24.5Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 33%
- Fund type mix
- filed 2026-03-13, latest gav Hedge Fund $16.7M, Other Private Fund $7.8M, latest counts Hedge Fund 2, Other Private Fund 1, lifetime distinct Hedge Fund 5, Real Estate Fund 2, Other Private Fund 1, Private Equity Fund 4
- Employees
- 5
- Headquarters
- Charlotte, NC
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- safety security
- 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
- from $275M
- Control
- not stated or not yet read
- Thesis
- ••• Locked
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
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C•••••• S•••• P••••••• F••• I• ADV: Private Equity Fund | buyout or unlabelled | unknown | $57.5M as of Dec 13, 2013 | no Form D | Unknown | |
| C•••••• S•••• P••••••• F••• I•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $38.3M as of Dec 13, 2013 | no Form D | Unknown | |
| C•••••• S•••• P••••••• F••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $16.7M as of Dec 13, 2013 | no Form D | Unknown | |
| B••••••• P•••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $85,152 as of Dec 13, 2013 | no Form D | Unknown |
Team
3 current, 4 former
Managing partner (2)
- C••••••••• R•••• P••••• · President & Chief Investment Officer · since Aug 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• H••• B••••••• · Chairman/Owner · since Aug 1, 1998 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- K••• A••••• M••••• · Chief Operating Officer/Chief Compliance Officer · since Nov 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
4 former (kept with end dates)
- D•••• J•• W•••• · Member, President, Chief Investment Officer · Jul 1, 1998 to Mar 2, 2012 Inference
- A••••• M•••• S••••• · Chief Compliance Officer · Jan 1, 2018 to Nov 29, 2023 Inference
- J•••••• W•••• C•••• · Chief Compliance Officer · Jul 1, 2008 to Jun 24, 2021 Inference
- M•••••• R•••• H••••• · Outsourced Chief Financial Officer · Nov 1, 2022 to Nov 29, 2023 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
- Jan 20, 2012••• Locked
Across the graphs
B••••••• A•••• M••••••••• L•• is the same institution as 3 records in RIA and Wealth, Private Credit and Real Estate Funds.
RIA and Wealth1Private Credit1Real Estate Funds1
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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