DFX Intelligence
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S••••• 1• V•••••••
Corporate ventureSEC-registered adviserClassification probable· Durham, North Carolina
Corporate venture, based in Durham, North Carolina, reporting $42.7M of private fund gross assets across 1 fund.
Composed from this organization's classification, location and filed figures.
As of · the latest observation of this organization; filed figures are as of its latest Form ADV
- Fund gross assets
- $42.7M
- New companies, 12 mo
- Not established
- Investment team
- 5
- Latest vintage
- Not established
Form ADV, Schedule D
Form ADV Schedule A and the firm's team page
As of · the latest observation of this organization; filed figures are as of its latest Form ADV
Why this matters
- Contact points 1
Scores, classification basis and filing advisersCorporate venture, probableShowHide
Importance
10
low
Active deployment
0
low
Emerging
0
low
Completeness
44
elevated
Freshness
97
high
Research priority
3
low
Corporate venture · probableSEC registered investment adviser
corporate parent: S••••• 1 Financial, Inc.
Identity and regulatory footprint
Website description: ••• Locked
- Headquarters
- Durham, NCa•••••••••.s••.gov
- Office address
- ••• Lockeda•••••••••.s••.gov
- Business phone
- ••• Lockeda•••••••••.s••.gov
- Website
- s•••••••••.com
- SEC adviser type
- registered investment advisera•••••••••.s••.gov
- SEC exemption claimed
- unknown
- Latest Form ADV
- Feb 12, 2014
- Private funds reported
- 1 (1 venture capital funds)a•••••••••.s••.gov
- Private fund gross assets
- $42.7Ma•••••••••.s••.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
- Regulatory AUM
- $42.7Mthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 2
- Owners on Schedule A
- S••••• 1• F••••••••• I••• (Parent Company/Sole And Managing Member), E
- business phone
- ••• Lockeda•••••••••.s••.govpublished by the subject
Stated thesis versus observed behaviour
no observed deals yet
Stated (the firm’s website)
- Sectors
- fintech, healthcare, biotech, medtech, climate, edtech, media
- Stages
- not stated or not yet read
- Geography
- global
- Check size
- not stated; DFX does not estimate checks from round sizes
Observed (from deals on record)
Stage at participation: no observed deals yet
Stage at first entry: no observed deals yet
Sectors: no observed deals yet
lead rate no observed dealsfollow-on rate no observed dealsnew logos, 12 months 0
Funds and vehicles
0 reported
No vehicle on record yet. A fund arrives from Form ADV Schedule D 7.B.(1) or a Form D filing.
Investment team
16 current, 0 departed
H•••• H••••••
Founder or executivePresident of the Bank
J•••• M• W••••
Founder or executiveChairman of the Board, Chief Executive Officer and President
S••• L•••••
Founder or executivePresident, Venture Banking
A••••• N••••• W•••••
OtherConsultant · since Apr 1, 2013
C•••••••• F••• S••••
Platform and operationsBusiness Management Expert advice to streamline operations and lead with confidence
I•• D••••
Platform and operationsExecutive Vice President, General Counsel, Chief Administrative Officer, and C•••••••• Secretary
J••••• K•••••
Platform and operationsExecutive Vice President, Chief Financial Officer
K•••• H••
Platform and operationsExecutive Vice President, Chief Accounting Officer and Deputy Chief Financial Officer
K•• T•
Platform and operationsExecutive Vice President, Chief People Officer
S•••• L•••
Platform and operationsExecutive Vice President and Head of Credit Operations, Chief Credit Officer, Specialty Banking
W•••• J•• B•••••
Platform and operationsPrincipal; Cco · since Aug 1, 2008
B••• R•••••
Vice presidentExecutive Vice President, Chief Internal Audit Officer
B•••• M• C••••••
Vice presidentExecutive Vice President, Chief Credit Officer
J•• R•••
Vice presidentSenior Executive Vice President and Vice Chairman of the Bank
O••••• L••••••
Vice presidentExecutive Vice President, Chief Risk Officer
S••••• S••••••••
Vice presidentExecutive Vice President, Chief Information Officer
Investments on record
0 edges, 0 companies, 0 partner-attributed
No investment on record yet. Edges arrive from the firm’s portfolio page, financing announcements, and Form D board seats.
Co-investors
0 relationships from shared deals, counted for the whole firm
No co-investor relationship yet: these are derived only from rounds and portfolio listings the graph has seen both investors on.
Limited partners
0 disclosed
No LP commitment on record. An LP edge needs a public disclosure with a quote: a pension report (see Limited partners for the plans read), a fund announcement naming the LP, or a Form ADV owner. The fund page carries the LP’s reported performance.
Timeline
2 dated events
- Mar 30, 2012••• LockedFirst SEC adviser filingOrganizationFactSEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
- Mar 30, 2012••• LockedFund first reported on Form ADVFundsFactS••••• 1• V•••••• 1• L•SEC Form ADV filing data 2011 to 2024 (every filing, Schedule D 7.B.(1) private funds, Schedules A/B)
Classification history
- Sep 12, 2026Corporate venture (probable, 80%, cls-1)corporate parent: S••••• 1• F••••••••• I•••
Evidence
33 observations from 2 sources