DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

III Associates

Former SEC-registered adviserBoca Raton, FloridaCRD 113537SEC 801-60506IAPD
Latest filing Oct 3, 2014
First filing on the tape Mar 2, 2012 · 9 filings
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$322M gross assets
History
9 filings and snapshots on the tape
RAUM$3.3B as of Apr 1, 2014
Mar 2, 2012$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2014
Feb 25, 20130 then
Employees (5.A)11 as of Apr 1, 2014
Feb 25, 201310 then
Private funds5 as of Apr 1, 2014
Mar 2, 20127 then
RAUM +20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 3, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$465MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$405M, 5 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$405M for 5 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      III Fund L.P.Hedge Fund$125M28Mar 2, 2012
      III Select Credit Fund L.P.Hedge Fund$50.3M24Mar 2, 2012
      III Relative Value Credit Strategies Fund L.P.Hedge Fund$49.8M21Mar 2, 2012
      III Credit Opportunities Fund L.P.Hedge Fund$24.5M26Mar 2, 2012
      III Credit Bias Fund L.P.no longer reportedHedge Fund$7.4M5Mar 2, 2012
      III Futures Neural Network, L.P.no longer reportedHedge Fund$4.8M5Mar 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Yelena Anuar · Chief Financial Officercontrol
        since 07/2014 · owns less than 5%
      • Patrick William Mccauley · Chief Executive Officercontrol
        since 02/1999 · owns less than 5%
      • Noel Lester Coyle · Shareholder/Ownercontrol
        since 01/2011 · owns 75% or more of Waverely, LLC
      • Dominic Francis Feeney · Shareholder/Ownercontrol
        since 01/2009 · owns 75% or more of Brynford LLC
      • Garth Friesen · Shareholder/Ownercontrol
        since 12/2003 · owns 75% or more of Adlex Corporation
      • Deep Kumar · Shareholder/Ownercontrol
        since 01/2014 · owns 75% or more of Stollery, LLC
      • Patrick William Mccauley · Shareholder/Ownercontrol
        since 03/2002 · owns 75% or more of Helios, Inc.
      • Bruce Warren Mosler · Shareholder/Ownercontrol
        since 04/1994 · owns 75% or more of Valance Co., Inc.
      • Rolf Thomas Olofsson · Shareholder/Ownercontrol
        since 01/2013 · owns 75% or more of Verdandi, LLC
      • Andrew Robert Printz · Shareholder/Ownercontrol
        since 12/2004 · owns 75% or more of Taylor Pepper, LLC
      • Lloyd Michael Reger · Shareholder/Ownercontrol
        since 12/1992 · owns 75% or more of Marathon Financial, Inc.
      • George Clifford Viner · Shareholder/Ownercontrol
        since 02/1992 · owns 75% or more of Wallner Co., Inc.
      • Lawrence Scott Wyler · Shareholder/Ownercontrol
        since 01/2013 · owns 75% or more of Mobilou, Inc.
      • Lawrence Scott Wyler · Chief Compliance Officer; Sec./Treas. Of Gp Entities
        since 02/1999 · owns less than 5%
      Entity owners
      • Adlex LLC · General Partner
        direct · owns 10% to 25%
      • Brynford, LLC · General Partner
        direct · owns 5% to 10%
      • Helios LLC · General Partner
        direct · owns 5% to 10%
      • Marathon Financial Inc. · General Partner
        direct · owns 5% to 10%
      • Mobilou, Inc. · General Partner
        direct · owns less than 5%
      • Stollery, LLC · General Partner
        direct · owns less than 5%
      • Taylor Pepper, LLC · General Partner
        direct · owns 10% to 25%
      • Valance Co., Inc. · General Partner
        direct · owns 10% to 25%
      • Verdandi, LLC · General Partner
        direct · owns less than 5%
      • Wallner Co., Inc. · General Partner
        direct · owns 10% to 25%
      • Waverely, LLC · General Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boca Raton, FL
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 7
        Jan 31, 2014 to Apr 1, 2014
      • Advisory employees · 10 to 11
        Jan 31, 2014 to Apr 1, 2014
      • Assets in custody · $254M to $405M
        Jan 31, 2014 to Apr 1, 2014
      • Employees · 10 to 11
        Jan 31, 2014 to Apr 1, 2014
      • Discretionary RAUM · $2.7B to $3.3B
        Jan 31, 2014 to Apr 1, 2014
      • RAUM · $2.7B to $3.3B
        Jan 31, 2014 to Apr 1, 2014
      • Accounts · 7 to 8
        Jan 14, 2013 to Feb 25, 2013
      • Assets in custody · $335M to $254M
        Jan 14, 2013 to Feb 25, 2013
      • Private funds · 6 to 5
        Jan 14, 2013 to Feb 25, 2013
      • Discretionary RAUM · $335M to $2.7B
        Jan 14, 2013 to Feb 25, 2013
      • RAUM · $335M to $2.7B
        Jan 14, 2013 to Feb 25, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Jan 2, 2013
      • BD registered reps · unset to 10.0
        Mar 30, 2012 to Jan 2, 2013
      • Employees · unset to 10.0
        Mar 30, 2012 to Jan 2, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Jan 2, 2013
      • Private funds · 7 to 6
        Mar 30, 2012 to Jan 2, 2013
      • Related bank · false to true
        Mar 30, 2012 to Jan 2, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026