DFX Intelligence
Private Equity Intelligence
Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Firms / C••••••• I••••••••• A•••••••• L••
C••••••• I••••••••• A•••••••• L••
Buyout firm · probableLower middle marketCharlotte, NCc•••••••••.comSEC registered investment adviser
Classification
- Class
- Buyout firmprobable, confidence 65%
- Basis
- R6: 6 of 7 distinct vehicles are sworn Private Equity Funds
- Size band
- Lower middle marketdefined by: proxy: $0.02bn Private Equity Fund GAV on the Form ADV filed 2021-03-23
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%, cls-pe-1)R6: 6 of 7 distinct vehicles are sworn Private Equity Funds
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Dec 7, 2012 to Mar 23, 2021
- RAUM
- $347Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $18.6Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $18.6Mevery 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
- 86%
- Fund type mix
- filed 2021-03-23, latest gav Private Equity Fund $18.6M, latest counts Private Equity Fund 1, lifetime distinct Other Private Fund 1, Private Equity Fund 6
- Employees
- 22
- Headquarters
- Charlotte, NC
- Office address
- 4201 CONGRESS STREET, SUITE 360, Charlotte, NC, 28209
- Business phone
- 704-376-5502
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
3 on record, 2 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C••••••••• F•••••• S•••••• F••• I• L• ADV: Private Equity Fund | Co-investment vehicle | unknown | $1.8M as of Nov 1, 2013 | no Form D | Wound down | |
| C•• A• C•••••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $1.3M as of Nov 1, 2013 | no Form D | Wound down | |
| C••••••••• P••••••• F••• I• L•••••• P••••••••• ADV: Private Equity Fund | SPV | unknown | $582,693 as of Jan 2, 2015 | 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 |
|---|---|---|---|---|---|
| C••••••••• S••• F••• I•• L••• | Other Private Fund | 2012 to 2014 | $23.0M filed Mar 28, 2014 | adviserinfo.sec.gov | |
| C••••••••• P••••••• F••• I•• L• | Private Equity Fund | 2014 to 2020 | $22.8M filed Mar 31, 2020 | adviserinfo.sec.gov |
Team
4 current, 3 former
Managing partner (1)
- J••••• B•••• A•••• · Elected Manager/President/Ceo · since Oct 1, 1999 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- M•••••• H••• B••••••• · Manager · since Dec 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- K•••• A••••• K••••• · Chief Compliance Officer · since Oct 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••• A••••• · Chief Operating Officer · since Oct 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
3 former (kept with end dates)
- J••• F•••••• M•••••• · Chief Operating Officer · Jul 1, 2009 to Nov 7, 2019 Inference
- M•••••• S•••••• M••• · Chief Compliance Officer · Jul 1, 2011 to Jul 30, 2013 Inference
- R•••••• G••••• W•••••••• · Chief Compliance Officer · Jul 1, 2013 to Nov 7, 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
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
2 most recent
- Sep 1, 2026Adviser CRD 166301 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Dec 7, 2012C••••••• I••••••••• A•••••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
C••••••• I••••••••• A•••••••• L•• is the same institution as 1 record in RIA and Wealth.
RIA 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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