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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WILLIS STEIN & PARTNERS MANAGEMENT III, L.L.C.

CRD 160637

CHICAGO, IL

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Search this name across graphsid dfx:ria:ba41d31b-860e-9f8a-ea55-3e77ca7755cd

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 1
Observed: Feb 13, 2012 to Mar 30, 2018
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Willis Stein & Partners Management III, L.L.C.

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $124MItem 5.F on the latest filing (2018-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $124M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $124Mgross asset value as reported per fund; never fund size
Custody, client assets: $124M
SEC number: 801-73442
CRD: 160637
Filings on the tape: 8
First filed: Feb 13, 2012
Latest filed: Mar 30, 2018
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
WILLIS STEIN & PARTNERS III SUB, L.P.	Private Equity Fund	$40.1M	Mar 30, 2016	122	Apr 1, 2013	dropped	021-999999
WILLIS STEIN & PARTNERS III, L.P.	Private Equity Fund	$22.1M	Mar 31, 2022	26	Feb 13, 2012	reported	021-183244
WILLIS STEIN & PARTNERS DUTCH III-B SUB, L.P.	Private Equity Fund	$1.2M	Mar 30, 2016	2	Apr 1, 2013	dropped	021-999999
WILLIS STEIN & PARTNERS DUTCH III-A SUB, L.P.	Private Equity Fund	$1.2M	Mar 30, 2016	2	Apr 1, 2013	dropped	021-999999
WILLIS STEIN & PARTNERS DUTCH III-A, L.P.	Private Equity Fund	$737,398	Mar 31, 2022	6	Feb 13, 2012	reported	021-183240
WILLIS STEIN & PARTNERS DUTCH III-B, L.P.	Private Equity Fund	$737,398	Mar 31, 2022	6	Feb 13, 2012	reported	021-183242
WILLIS STEIN & PARTNERS III-C SUB, L.P.	Private Equity Fund	$340,597	Mar 30, 2016	11	Apr 1, 2013	dropped	021-999999
WILLIS STEIN & PARTNERS III-C, L.P.	Private Equity Fund	$318,520	Mar 31, 2022	10	Feb 13, 2012	reported	021-183246

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
STEIN, AVY, HOWARD	MANAGING MEMBER	E	yes	03/2000	Feb 13, 2012	Mar 30, 2018
MILLS, DAVID, THOMAS	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	no	09/2007	Feb 13, 2012	Mar 30, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WILLIS STEIN & PARTNERS MANAGEMENT III, L.P.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018	$124M	$124M	2	2	0	4	$124M
2016	Mar 30, 2017	$355M	$355M	5	5	n/a	4	$355M
2015	Mar 30, 2016	$409M	$409M	5	5	n/a	8	$409M
2014	Mar 27, 2015	$409M	$409M	5	5	n/a	8	$409M
2013	Mar 28, 2014	$433M	$433M	6	5	n/a	8	$433M
2012	Apr 1, 2013	$339M	$339M	5	5	n/a	8	$339M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$124M	$355M	-65.1%	$409M	-32.9%	2	5	0	n/a

Relationships

Advises (8)

→ WILLIS STEIN & PARTNERS DUTCH III-B, L.P.Private fundPrivate Equity Fund, ERA
Feb 13, 2012 to presentfactForm ADV
→ WILLIS STEIN & PARTNERS DUTCH III-A, L.P.Private fundPrivate Equity Fund, ERA
Feb 13, 2012 to presentfactForm ADV
→ WILLIS STEIN & PARTNERS III, L.P.Private fundPrivate Equity Fund, ERA
Feb 13, 2012 to presentfactForm ADV
→ WILLIS STEIN & PARTNERS III-C, L.P.Private fundPrivate Equity Fund, ERA
Feb 13, 2012 to presentfactForm ADV
→ WILLIS STEIN & PARTNERS III-C SUB, L.P.Private fundPrivate Equity Fund, IA, no longer reported
Apr 1, 2013 to Mar 30, 2016factForm ADV
→ WILLIS STEIN & PARTNERS DUTCH III-A SUB, L.P.Private fundPrivate Equity Fund, IA, no longer reported
Apr 1, 2013 to Mar 30, 2016factForm ADV
→ WILLIS STEIN & PARTNERS III SUB, L.P.Private fundPrivate Equity Fund, IA, no longer reported
Apr 1, 2013 to Mar 30, 2016factForm ADV
→ WILLIS STEIN & PARTNERS DUTCH III-B SUB, L.P.Private fundPrivate Equity Fund, IA, no longer reported
Apr 1, 2013 to Mar 30, 2016factForm ADV

Controls (1)

← STEIN, AVY, HOWARDOwnerMANAGING MEMBER, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV

Owns (1)

← MILLS, DAVID, THOMASOwnerCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2018
Regulatory AUM changed
Willis Stein & Partners Management Iii, L.L.C. reported RAUM $123.8M, down 65% from $355.0M (2017-03-30 to 2018-03-30)
Form ADVobserved 3 days ago
$-231M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba41d31b-860e-9f8a-ea55-3e77ca7755cd
First observed: Feb 13, 2012
Last observed: Mar 30, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WILLIS STEIN & PARTNERS MANAGEMENT III, L.L.C.

CRD 160637

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ba41d31b-860e-9f8a-ea55-3e77ca7755cd

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WILLIS STEIN & PARTNERS III SUB, L.P.

Private Equity Fund

$40.1M

Mar 30, 2016

122

Apr 1, 2013

dropped

021-999999

WILLIS STEIN & PARTNERS III, L.P.

Private Equity Fund

$22.1M

Mar 31, 2022

Feb 13, 2012

reported

021-183244

WILLIS STEIN & PARTNERS DUTCH III-B SUB, L.P.

Private Equity Fund

$1.2M

Mar 30, 2016

Apr 1, 2013

dropped

021-999999

WILLIS STEIN & PARTNERS DUTCH III-A SUB, L.P.

Private Equity Fund

$1.2M

Mar 30, 2016

Apr 1, 2013

dropped

021-999999

WILLIS STEIN & PARTNERS DUTCH III-A, L.P.

Private Equity Fund

$737,398

Mar 31, 2022

Feb 13, 2012

reported

021-183240

WILLIS STEIN & PARTNERS DUTCH III-B, L.P.

Private Equity Fund

$737,398

Mar 31, 2022

Feb 13, 2012

reported

021-183242

WILLIS STEIN & PARTNERS III-C SUB, L.P.

Private Equity Fund

$340,597

Mar 30, 2016

Apr 1, 2013

dropped

021-999999

WILLIS STEIN & PARTNERS III-C, L.P.

Private Equity Fund

$318,520

Mar 31, 2022

Feb 13, 2012

reported

021-183246

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STEIN, AVY, HOWARD

MANAGING MEMBER

yes

03/2000

Feb 13, 2012

Mar 30, 2018

MILLS, DAVID, THOMAS

CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER

09/2007

Feb 13, 2012

Mar 30, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WILLIS STEIN & PARTNERS MANAGEMENT III, L.P.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

$124M

2016

Mar 30, 2017

$355M

n/a

$355M

2015

Mar 30, 2016

$409M

n/a

$409M

2014

Mar 27, 2015

$409M

n/a

$409M

2013

Mar 28, 2014

$433M

n/a

$433M

2012

Apr 1, 2013

$339M

n/a

$339M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$124M

$355M

-65.1%

$409M

-32.9%

n/a