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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

C III CAPITAL MANAGEMENT, LLC

CRD 115937

HOUSTON, TX

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Search this name across graphsid dfx:ria:d4c9366e-790c-7a12-c8f5-aa1ef3710f7d

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 2
Observed: May 29, 2013 to Mar 31, 2021
14 observations

Across DFX

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

Private Equityidentity

C III Capital Management, LLC

Private equity manager · shared crd

Venture Capitalidentity

C III Capital Management, LLC

Venture 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: $1.9BItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.0M
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: 4
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 6
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $9.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $9.0M
SEC number: 801-78154
CRD: 115937
Filings on the tape: 14
First filed: May 29, 2013
Latest filed: Mar 31, 2021
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
BUCKHORN INVESTMENT PARTNERS I, L.P.	Private Equity Fund	$7.1M	Mar 31, 2021	7	Mar 31, 2014	reported	n/a
LION FUND, L.P.	Hedge Fund	$2.2M	Mar 31, 2016	4	Mar 29, 2012	dropped	n/a
BUCKHORN INVESTMENT PARTNERS II, L.P.	Private Equity Fund	$1.9M	Mar 31, 2021	4	Mar 31, 2014	reported	n/a

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
ROBERTSON, CORBIN, JAMES	MANAGING MEMBER AND OWNER, C III CAPITAL MANAGEMENT LLC	E	yes	08/2000	May 29, 2013	Mar 31, 2021
ASHLEY, MARIE, THERESA	CHIEF COMPLIANCE OFFICER	Na	no	05/2013	May 29, 2013	Mar 31, 2021
ROBERTSON, BROOKE, TROTTER	OWNER, C III CAPITAL MANAGEMENT, LLC	B	no	08/2000	May 29, 2013	Mar 31, 2021

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
QEP MANAGEMENT CO. GP, LLC	n/a	Former SEC adviser	$189M	N	no	n/a
LKCM HEADWATER II SIDECAR PARTNERSHIP GP, L.P.	n/a	n/a	n/a	N	yes	n/a
LKCM HEADWATER INVESTMENTS I GP, L.P.	n/a	n/a	n/a	N	yes	n/a
LKCM HEADWATER INVESTMENTS II GP, L.P.	n/a	n/a	n/a	N	yes	n/a
LKCM HEADWATER INVESTMENTS III GP, 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
2020	Mar 31, 2021	$1.9B	$9.0M	4	1	0	2	$9.0M
2019	Mar 30, 2020	$1.8B	$7.4M	4	1	0	2	$7.4M
2018	Mar 29, 2019	$1.1B	$6.7M	3	1	0	2	$6.7M
2017	Mar 29, 2018	$922M	$12.8M	3	1	0	2	$12.8M
2016	Mar 31, 2017	$811M	$14.9M	3	1	n/a	2	$14.9M
2015	Mar 31, 2016	$804M	$804M	4	1	n/a	3	$15.2M
2014	Mar 31, 2015	$899M	$899M	3	1	n/a	3	$15.1M
2013	Mar 31, 2014	$402M	$402M	2	1	n/a	3	$4.5M

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
2020	$1.9B	$1.8B	6.9%	$922M	27.6%	4	4	0	0

Relationships

Affiliated with (2)

→ QEP MANAGEMENT CO. GP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor
factForm ADV
← QEP MANAGEMENT CO. GP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor
factForm ADV

Advises (3)

→ BUCKHORN INVESTMENT PARTNERS II, L.P.Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ BUCKHORN INVESTMENT PARTNERS I, L.P.Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ LION FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Mar 31, 2016factForm ADV

Controls (1)

← ROBERTSON, CORBIN, JAMESOwnerMANAGING MEMBER AND OWNER, C III CAPITAL MANAGEMENT LLC, ownership code E, individual
May 29, 2013 to presentfactForm ADV

Owns (2)

← ROBERTSON, BROOKE, TROTTEROwnerOWNER, C III CAPITAL MANAGEMENT, LLC, ownership code B, individual
May 29, 2013 to presentfactForm ADV
← ASHLEY, MARIE, THERESAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 29, 2013 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2020
Regulatory AUM changed
C Iii Capital Management, Llc reported RAUM $1.8B, up 66% from $1.1B (2019-03-29 to 2020-03-30)
Form ADVobserved 5 days ago
$710M
Occurred
May 29, 2013
First Form ADV filing
C Iii Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4c9366e-790c-7a12-c8f5-aa1ef3710f7d
First observed: May 29, 2013
Last observed: Mar 31, 2021 66 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.

C III CAPITAL MANAGEMENT, LLC

CRD 115937

HOUSTON, TX

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:d4c9366e-790c-7a12-c8f5-aa1ef3710f7d

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BUCKHORN INVESTMENT PARTNERS I, L.P.

Private Equity Fund

$7.1M

Mar 31, 2021

Mar 31, 2014

reported

n/a

LION FUND, L.P.

Hedge Fund

$2.2M

Mar 31, 2016

Mar 29, 2012

dropped

n/a

BUCKHORN INVESTMENT PARTNERS II, L.P.

Private Equity Fund

$1.9M

Mar 31, 2021

Mar 31, 2014

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROBERTSON, CORBIN, JAMES

MANAGING MEMBER AND OWNER, C III CAPITAL MANAGEMENT LLC

yes

08/2000

May 29, 2013

Mar 31, 2021

ASHLEY, MARIE, THERESA

CHIEF COMPLIANCE OFFICER

05/2013

May 29, 2013

Mar 31, 2021

ROBERTSON, BROOKE, TROTTER

OWNER, C III CAPITAL MANAGEMENT, LLC

08/2000

May 29, 2013

Mar 31, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

QEP MANAGEMENT CO. GP, LLC

n/a

Former SEC adviser

$189M

n/a

LKCM HEADWATER II SIDECAR PARTNERSHIP GP, L.P.

n/a

yes

n/a

LKCM HEADWATER INVESTMENTS I GP, L.P.

n/a

yes

n/a

LKCM HEADWATER INVESTMENTS II GP, L.P.

n/a

yes

n/a

LKCM HEADWATER INVESTMENTS III GP, L.P.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$1.9B

$9.0M

2019

Mar 30, 2020

$1.8B

$7.4M

2018

Mar 29, 2019

$1.1B

$6.7M

2017

Mar 29, 2018

$922M

$12.8M

2016

Mar 31, 2017

$811M

$14.9M

n/a

$14.9M

2015

Mar 31, 2016

$804M

n/a

$15.2M

2014

Mar 31, 2015

$899M

n/a

$15.1M

2013

Mar 31, 2014

$402M

n/a

$4.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.9B

$1.8B

6.9%

$922M

27.6%