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.
SEC-registered adviser
III Capital Management
Latest filing May 7, 2026
First filing on the tape Mar 2, 2012 · 57 filings
SEC status approved since Aug 28, 2001
RAUM
$88B
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
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$88B as of May 7, 2026
Mar 2, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2026
Feb 25, 20130 then
Employees (5.A)9 as of May 7, 2026
Feb 25, 201310 then
Private funds8 as of May 7, 2026
Mar 2, 201210 then
RAUM +3.7% over the last fiscal year+38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 7, 2026; 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
- $3.5BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%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
- +3.7%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $48B, 7 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$63B71%
- Sovereign wealth funds$24B27%
- Pension and profit-sharing plans$771M0.9%
- Corporations and businesses$236M0.3%
- Charitable organizations$193M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.71 institutional_share=0.28 related_bd=true related_bank=true bd_reps=9.0derived
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
Private funds
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| III Term Credit Hub Fund Ltd. | Hedge Fund | $27B | 2 | Dec 5, 2012 |
| III Absolute Return Fund LLC | Hedge Fund | $14B | 2 | Sep 29, 2017 |
| III Government Relative Value Hub Fund Ltd.no longer reported | Hedge Fund | $8.7B | 11 | May 23, 2019 |
| III Finance Ltd.no longer reported | Hedge Fund | $5.3B | 40 | Mar 2, 2012 |
| III-Ki Opportunities Fund LLC | Hedge Fund | $2.6B | 1 | Nov 30, 2023 |
| III Convex Hedge Strategies Spc - III Equity Index Alternative Spno longer reported | Hedge Fund | $1.5B | 5 | Sep 29, 2017 |
| III Volga Multi-Strategy Fund L.P. | Hedge Fund | $1.3B | 2 | Mar 29, 2019 |
| III Alpha Capture Fund Ltd. | Hedge Fund | $814M | 1 | Oct 6, 2020 |
| III Convex Hedge Strategies Spc - III Equity Index Alternative (Erisa) Spno longer reported | Hedge Fund | $435M | 1 | Sep 29, 2017 |
| III Alpha One Convexity Fund Ltd. | Hedge Fund | $421M | 1 | May 12, 2022 |
| Aai III Fund Plcno longer reported | Hedge Fund | $401M | 1 | Feb 25, 2013 |
| III Rates Global Spectrum Reflection Fund, A Sub-Fund Of Aai III Fund Plcno longer reported | Hedge Fund | $360M | 1 | Mar 21, 2013 |
| III Credit Opportunities Hub Fund Ltd. | Hedge Fund | $272M | 79 | Mar 2, 2012 |
| III Convex Strategies Hub Fund Ltd | Hedge Fund | $248M | 7 | Aug 29, 2015 |
| Bjc Healthcare Fund Ltd.no longer reported | Hedge Fund | $219M | 1 | Mar 2, 2012 |
| III 1885 Fund Ltd. | Hedge Fund | $175M | 1 | May 12, 2022 |
| III Select Credit Hub Fund Ltd. | Hedge Fund | $169M | 11 | Mar 2, 2012 |
| III R Tail Fund Ltd.no longer reported | Hedge Fund | $147M | 2 | Jun 6, 2019 |
| III Relative Value Credit Strategies Hub Fund Ltd.no longer reported | Hedge Fund | $130M | 6 | Mar 2, 2012 |
| III Ep Credit Strategies Erisa Spno longer reported | Hedge Fund | $127M | 13 | Mar 29, 2019 |
| III Cosain Fund Ltd.no longer reported | Hedge Fund | $113M | 4 | Dec 5, 2012 |
| III Credit Bias Hub Fund Ltd.no longer reported | Hedge Fund | $92.8M | 2 | Mar 2, 2012 |
| III Credit Global Spectrum Reflection Fund, A Sub-Fund Of Aai III Fund Plcno longer reported | Hedge Fund | $82.5M | 1 | Mar 21, 2013 |
| III Ep Strategies Spc - III Ep Tail Strategies Spno longer reported | Hedge Fund | $63.9M | 2 | Sep 29, 2017 |
| Bjc Healthcare Erisa Fund Ltd.no longer reported | Hedge Fund | $60.3M | 1 | Mar 2, 2012 |
| Iam Mini-Fund 999 Limitedno longer reported | Hedge Fund | $58.3M | 1 | Mar 2, 2012 |
| III Advisors Ucits Funds Plcno longer reported | Hedge Fund | $47.4M | 1 | Feb 25, 2013 |
| III Ucits Credit Opportunities Fund, A Sub-Fund Of III Advisors Ucits Funds Plcno longer reported | Hedge Fund | $47.4M | 1 | May 17, 2013 |
| The Principals Fund Limited Partnershipno longer reported | Hedge Fund | $34.0M | 9 | Mar 2, 2012 |
| III Cre Bridge Loan Fund L.P. | Real Estate Fund | $18.0M | 3 | Mar 29, 2018 |
| III Futures Neural Network Hub Ltd.no longer reported | Hedge Fund | $1.6M | 4 | Mar 2, 2012 |
| Ssc III Fund Ltd.no longer reported | Hedge Fund | $21,742 | 1 | May 24, 2014 |
| III Protection Strategies Fund Ltd. | Hedge Fund | $0 | 1 | Aug 16, 2024 |
| Iam Mini-Fund 30 Limitedno longer reported | Hedge Fund | $0 | 3 | Mar 2, 2012 |
| III Protection Strategies Fund Ltd.no longer reported | Hedge Fund | $0 | 1 | May 12, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Nmn Yelena Anuar · Chief Financial Officercontrolsince 07/2014 · owns less than 5%
- Marie Karen Hansen · General Counselcontrolsince 09/2017 · owns less than 5%
- Andrew Robert Printz · Presidentcontrolsince 09/2000 · owns less than 5%
- Lawrence Scott Wyler · Chief Executive Officer; Chief Compliance Officercontrolsince 02/1999 · owns less than 5%
- Nmn Yelena Anuar · Shareholder/Ownercontrolsince 01/2022 · owns 75% or more of Jagazay, LLC
- Noel Lester Coyle · Owner/Shareholdercontrolsince 01/2011 · owns 75% or more of Waverely, LLC
- Marie Karen Hansen · Shareholder/Ownercontrolsince 12/2020 · owns 75% or more of Kamarlo, LLC
- Rolf Thomas Olofsson · Shareholder/Ownercontrolsince 01/2013 · owns 75% or more of Verdandi, LLC
- Minassian Christian Pellegrino · Shareholder/Ownercontrolsince 01/2022 · owns 75% or more of Lucalay LLC
- Nmn Jason Prest · Managercontrolsince 12/2017 · owns 75% or more of Wilder Ventures Inc.
- Andrew Robert Printz · Shareholder/Ownercontrolsince 12/2004 · owns 75% or more of Taylor Pepper, LLC
- George Clifford Viner · Managercontrolsince 04/1994 · owns 75% or more of Wallner Co., Inc.
- Lawrence Scott Wyler · Shareholder/Ownercontrolsince 01/2013 · owns 75% or more of Mobilou, Inc.
Entity owners
- Jagazay, LLC · General Partnerdirect · owns less than 5%
- Kamarlo, LLC · General Partnerdirect · owns less than 5%
- Lucalay LLC · General Partnerdirect · owns 10% to 25%
- Mobilou, Inc. · General Partnerdirect · owns 5% to 10%
- Taylor Pepper, LLC · General Partnerdirect · owns 10% to 25%
- Verdandi, LLC · General Partnerdirect · owns less than 5%
- Waverely, LLC · General Partnerdirect · owns 10% to 25%
- Wilder Ventures Inc. · General Partnerdirect · owns 10% to 25%
- Wallner Co., Inc. · General Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Pension plan clients · 6 to 5Aug 8, 2025 to Mar 30, 2026
- Pooled vehicle clients · 13 to 16Aug 8, 2025 to Mar 30, 2026
- Assets in custody · $48B to $48BAug 8, 2025 to Mar 30, 2026
- Private funds · 7 to 8Aug 8, 2025 to Mar 30, 2026
- Discretionary RAUM · $85B to $88BAug 8, 2025 to Mar 30, 2026
- Pension RAUM · $951M to $771MAug 8, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $55B to $63BAug 8, 2025 to Mar 30, 2026
- RAUM · $85B to $88BAug 8, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 8, 2025
- Private funds · 6 to 7Mar 31, 2025 to Aug 8, 2025
- Accounts · 30 to 25Aug 16, 2024 to Mar 31, 2025
- Advisory employees · 8 to 9Aug 16, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Aug 16, 2024 to Mar 31, 2025
- BD registered reps · 8 to 9Aug 16, 2024 to Mar 31, 2025
- Charity clients · 0.0 to unsetAug 16, 2024 to Mar 31, 2025
- Corporate clients · 11.0 to unsetAug 16, 2024 to Mar 31, 2025
- Pension plan clients · unset to 6.0Aug 16, 2024 to Mar 31, 2025
- Pooled vehicle clients · 15 to 13Aug 16, 2024 to Mar 31, 2025
- Assets in custody · $18B to $48BAug 16, 2024 to Mar 31, 2025
- Employees · 8 to 9Aug 16, 2024 to Mar 31, 2025
- Private funds · 9 to 6Aug 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $40B to $85BAug 16, 2024 to Mar 31, 2025
- Pension RAUM · $331M to $951MAug 16, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $30B to $55BAug 16, 2024 to Mar 31, 2025
- RAUM · $40B to $85BAug 16, 2024 to Mar 31, 2025
- Other offices · 0 to 1Jul 1, 2024 to Aug 16, 2024
- Private funds · 8 to 9Jul 1, 2024 to Aug 16, 2024
- Corporate clients · 6 to 11Nov 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 19 to 15Nov 30, 2023 to Mar 29, 2024
- Assets in custody · $2.1B to $18BNov 30, 2023 to Mar 29, 2024
- Private funds · 11 to 8Nov 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $33B to $40BNov 30, 2023 to Mar 29, 2024
- Pension RAUM · $389M to $331MNov 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $32B to $30BNov 30, 2023 to Mar 29, 2024
- RAUM · $33B to $40BNov 30, 2023 to Mar 29, 2024
- Private funds · 10 to 11Aug 1, 2023 to Nov 30, 2023
- Advisory employees · 11 to 8Mar 31, 2023 to Aug 1, 2023
- BD registered reps · 11 to 8Mar 31, 2023 to Aug 1, 2023
- Employees · 11 to 8Mar 31, 2023 to Aug 1, 2023
- Accounts · 31 to 30May 12, 2022 to Mar 31, 2023
Signals
16 dated events
- Iii Capital Management reported RAUM $85.1B, up 115% from $39.5B (2024-08-16 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Dominic Francis Feeney (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2023-03-31, absent 2023-08-01)Aug 1, 2023 · Control person left · inference
- Deep Kumar (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2023-03-31, absent 2023-08-01)Aug 1, 2023 · Control person left · inference
- Nmn Antoine Tan (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2023-03-31, absent 2023-08-01)Aug 1, 2023 · Control person left · inference
- Iii Capital Management reported RAUM $33.3B, down 42% from $57.1B (2022-05-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- George Clifford Viner (Manager) appeared on Schedule A of Iii Capital ManagementMar 31, 2023 · Control person joined · fact
- Iii Capital Management reported RAUM $57.1B, up 92% from $29.7B (2021-11-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- (Nmn) Garth Friesen (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2021-11-01, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Minassian Christian Pellegrino (Shareholder/Owner) appeared on Schedule A of Iii Capital ManagementMar 31, 2022 · Control person joined · fact
- Nmn Antoine Tan (Shareholder/Owner) appeared on Schedule A of Iii Capital ManagementMar 31, 2022 · Control person joined · fact
- Iii Capital Management reported RAUM $29.7B, down 60% from $73.7B (2020-10-06 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- George Clifford Viner (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2020-10-06, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Iii Capital Management reported RAUM $73.7B, up 76% from $41.9B (2019-06-06 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Lloyd Michael Reger (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2019-06-06, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Patrick William Mccauley (Shareholder/Owner) no longer on Schedule A of Iii Capital Management (listed 2019-06-06, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Iii Capital Management reported RAUM $48.3B, up 129% from $21.1B (2017-09-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/III-AVMreportedpublic record, Form ADV, Sep 17, 2026
- Website
- IIICM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 561-544-4600reportedpublic record, Form ADV, May 7, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
III Capital Management is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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