DFX Intelligence

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C••• C••••••

CandidateClassification candidateunsizedSEC registered investment adviser· Raleigh, NCwebsite

Candidate, based in Raleigh, NC.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-20 · identity and classification; each section below carries its own date

Regulatory AUM: $1.4B
PE fund assets: Not established
PE funds: 0
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (3)Transactions

As of 2026-09-20 · identity and classification; each section below carries its own date

Why this matters

Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
Reported $1.4B of regulatory assets at its last Form ADV filing.
2023-12-01
RAUM $1.4B

Classification

How this organization is classified, and on what basisCandidate · 1 in historyShow

Class: Candidatecandidate, confidence 40%
Basis: R7: admitted on 1 Private Equity Fund(s) among 8 vehicles; no rule fired
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later

Classification history (1)

Sep 13, 2026
Candidate (candidate, 40%, cls-pe-1)
R7: admitted on 1 Private Equity Fund(s) among 8 vehicles; no rule fired

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Aug 31, 2015 to Dec 1, 2023
RAUM: $1.4Bregulatory 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: $177Mevery 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: 13%
Fund type mix: filed 2023-12-01, latest gav Hedge Fund $155M, Real Estate Fund $22.0M, latest counts Hedge Fund 2, Real Estate Fund 1, lifetime distinct Hedge Fund 2, Real Estate Fund 5, Private Equity Fund 1
Employees: 23
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

0 on record, 1 more on the reporting tape

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••••••• W• P•••••••• L•	Private Equity Fund	2018 to 2018		$13.0M filed May 24, 2018	adviserinfo.sec.gov

Team

3 current, 6 former

Managing partner (1)

D•••••• P•••• E••••••••• · Ceo · since Feb 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)

B••• P••••• D••••• · Chief Compliance Officer · since Jan 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
M••• N••••••• P••••••• · Chief Operating Officer/Chief Investment Officer · since Jun 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

6 former (kept with end dates)

E••• S••••• S••••••• · Member · Jun 1, 2008 to Jan 28, 2022 Inference
G••••• E•••• C••••• · Managing Director/Chief Investment Officer · Mar 1, 2016 to Mar 5, 2018 Inference
M•••••• H•••• M••••• · Managing Director · Jul 1, 2015 to Mar 5, 2018 Inference
D••••• M•••••• D•••••• · Chief Compliance Officer · Jun 1, 2017 to Mar 5, 2018 Inference
K••••••• E•••••••• K•••••• · Chief Compliance Officer · Jun 1, 2019 to May 7, 2020 Inference
L•• H•••••• R•••••• · Managing Director/Chief Compliance Officer · Feb 1, 2016 to Jun 13, 2019 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

1 on record

Date	Type	Target	This firm’s role	Source
Aug 24, 2026	Growth investment	C••• C••••••	Target (confirmed)	c•••••••••.com

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

3 most recent

Sep 1, 2026
••• Locked
Adviser off rosterInferenceSEC Form ADV monthly roster (registered + exempt reporting advisers)
Aug 24, 2026
••• Locked
Transaction announcedFactT•• V•••••• G••••• L•Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS)
Aug 31, 2015
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness99 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9888888888888889,"evidence":"2 method: sum of component points, capped at 1.0
model score-pe-1
Research priority31 · MODERATE: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.05,"evidence":"UNSIZED"},{"code":"COMPLETENESS_method: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet, no funds on the graph
model score-pe-1
Profile completeness25 · MODERATE: as of: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.25,"evidence":["website","team","partners"]method: sum of component points, capped at 1.0
missing: description, funds, portfolio, transactions, stated criteria, lenders, intermediaries, lps, cross dfx
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no funds on the graph
model score-pe-1

Across DFX

No link to the family office, independent sponsor or venture graphs yet. Links are made only on a shared identifier such as a CRD or CIK number.

Record

First observed: Sep 13, 2026
Last observed: 2 days ago
Observations: 18
Sources: 4
Open research tasks: 3

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

C••• C•••••• is the same institution as 3 records in RIA and Wealth, Allocators and Real Estate Funds.

RIA and Wealth1Allocators1Real 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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