Investment adviser · CRD 157157

PHOENIX HOLDINGS-NC, INC.

Investment adviser filing (IA)

CHARLOTTE, NC, United States · Form ADV filed Mar 28, 2013

Regulatory AUM
$384M
Form ADV · Item 5.F
Client accounts
6
Accounts, not individual clients
Employees
15
Reported in this filing
Advisory professionals
15
Investment advisory functions

Private funds & service providers

6 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CAPITALSOUTH PARTNERS FUND III LPPrivate Equity Fund · Last reported Mar 28, 2013$269MGross asset value
Auditor DIXON HUGHES GOODMAN LLP HIGH POINT, North Carolina, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian TD BANK GREENVILLE, South Carolina, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-1018733729
Reported beneficial owners
99
Minimum commitment
$20K
Form D file number
021-112751

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPITALSOUTH PARTNERS SBIC FUND III LPOther Private Fund · Last reported Mar 28, 2013$240MGross asset value
Auditor DIXON HUGHES GOODMAN LLP HIGH POINT, North Carolina, United States
Auditor ERNST & YOUNG LLP ATLANTA, Georgia, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian PARAGON BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian REGIONS BANK BIRMINGHAM, Alabama, United States Related to adviser: No
Custodian SUNTRUST BANK ATLANTA, Georgia, United States Related to adviser: No
Custodian TD BANK GREENVILLE, South Carolina, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-3289685590
Reported beneficial owners
99
Minimum commitment
$20K
Form D file number
021-131463

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPITALSOUTH PARTNERS FUND II LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 28, 2013$99.4MGross asset value
Auditor DIXON HUGES GOODMAN LLP HIGH POINT, North Carolina, United States
Auditor ERNST & YOUNG LLP ATLANTA, Georgia, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian PARAGON BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian REGIONS BANK BIRMINGHAM, Alabama, United States Related to adviser: No
Custodian TD BANK GREENVILLE, South Carolina, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-6489373296
Reported beneficial owners
66
Minimum commitment
$25K
Form D file number
021-53168

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPITALSOUTH PARTNERS FUND I LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 28, 2013$9.93MGross asset value
Auditor DIXON HUGHES GOODMAN LLP HIGH POINT, North Carolina, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian NEW DOMINION BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-8865109997
Reported beneficial owners
33
Minimum commitment
$15K
Form D file number
021-9999999999

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPITALSOUTH FLORIDA SIDECAR FUND I LPPrivate Equity Fund · Last reported Mar 28, 2013$3.46MGross asset value
Auditor DIXON HUGHES GOODMAN LLP HIGH POINT, North Carolina, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-9296338581
Reported beneficial owners
2
Minimum commitment
$2.5M
Form D file number
021-144628

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CSP A1 CAPITAL LLCPrivate Equity Fund · Last reported Mar 28, 2013$2.56MGross asset value
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian PARK STERLING BANK CHARLOTTE, North Carolina, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-4077138498
Reported beneficial owners
3
Minimum commitment
$1.25M
Form D file number
021-149356

Form ADV 695742 · Mar 28, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 28, 2013. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

4201 CONGRESS STREET, SUITE 360
CHARLOTTE, NC, 28209, United States

CRD 157157

Filing source

Form ADV 695742 · Mar 28, 2013 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.