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

Ares Capital Management III LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 168076SEC 801-78341IAPD
Latest filing Aug 23, 2018
First filing on the tape Jul 10, 2013 · 11 filings
RAUM
$624M
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
106
90 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
4
$204M gross assets
History
11 filings and snapshots on the tape
RAUM$624M as of Mar 31, 2018
Mar 31, 2014$158M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 31, 20140 then
Employees (5.A)106 as of Mar 31, 2018
Mar 31, 201499 then
Private funds3 as of Mar 31, 2018
Mar 31, 20141 then
RAUM +216% over the last fiscal year+56% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 23, 2018; 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
$104MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived9 offices incl. principal (1.F.5)
RAUM growth, one year
+216%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$204M, 3 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$204M33%
  • Pension and profit-sharing plans$158M25%
  • Other investment advisers$155M25%
  • State and municipal entities$108M17%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$204M for 3 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Ares Income Opportunity Fund L.P.Other Private Fund$14.8M14Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • J (Mi Only) Michael Arougheti · Chief Executive Officercontrol
        since 06/2013 · owns less than 5%
      • Jonathan Seth Brufsky · Vice Presidentcontrol
        since 06/2013 · owns less than 5%
      • Goldsmith Miriam Krieger · Vice President & Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • Alan Gregory Margolies · Presidentcontrol
        since 06/2013 · owns less than 5%
      • Peter Antony Ressler · Executive Chairmancontrol
        since 01/2018 · owns less than 5%
      • Facemire Penelope Roll · Vice President And Chief Financial Officercontrol
        since 03/2018 · owns less than 5%
      • Daniel Michael Weiner · Vice President, General Counsel And Secretarycontrol
        since 06/2013 · owns less than 5%
      • Antony Peter Ressler · Membercontrol
        since 01/2002 · owns 25% to 50% of Ares Owners Holdings L.P.
      Entity owners
      • Ares Management LLC · Member
        direct · owns 75% or more
      • Ares Holdco LLC · General Partner
        indirect · owns 25% to 50% of Ares Holdings LP
      • Ares Holdco LLC · General Partner
        indirect · owns F of Ares Management Holdings L.P.
      • Ares Holdings Inc. · Member
        indirect · owns 75% or more of Ares Holdco, LLC
      • Ares Holdings L.P. · Limited Partner
        indirect · owns 50% to 75% of Ares Management Holdings L.P.
      • Ares Management Holdings L.P. · Member
        indirect · owns 50% to 75% of Ares Management LLC
      • Ares Management L.P. · Sole Shareholder
        indirect · owns 75% or more of Ares Holdings Inc. · public reporting company
      • Ares Owners Holding L.P. · Limited Partner
        indirect · owns 50% to 75% of Ares Holdings L.P.
      • Ares Partners Holdco LLC · General Partner
        indirect · owns F of Ares Owners Holdings L.P.
      Related persons
      Schedule D 7.A
      • Ace Esslp Gp, LLC
        bankpooled vehicle sponsorn
      • Ace III Gp (Scotland) Llp
        pooled vehicle sponsorn
      • Acof Asia Management, L.P.
        bankpooled vehicle sponsorn
      • Acof IV Atd Co-Investment Management, LLC
        pooled vehicle sponsorn
      • Acof Management II, L.P.
        bankpooled vehicle sponsorn
      • Acof Management III, L.P.
        bankpooled vehicle sponsorn
      • Acof Management IV, L.P.
        bankpooled vehicle sponsorn
      • Acof Management V, L.P.
        bankpooled vehicle sponsorn
      • Acof Management, L.P.
        bankpooled vehicle sponsorn
      • Adem Advisors, LLC
        pooled vehicle sponsorn
      • Aeif Linden Gp, LLC
        pooled vehicle sponsorn
      • Aelis Vi Management, L.P.
        pooled vehicle sponsorn
      • Aepep (Scotland) Gp II, L.L.P.
        pooled vehicle sponsorn
      • Aepep II N Gp, LP
        pooled vehicle sponsorn
      • American Capital Equity Management I, LLC
        pooled vehicle sponsorn
      • American Capital Equity Management II, LLC
        pooled vehicle sponsorn
      • Ap Cc Incentive
        pooled vehicle sponsorn
      • Ap-T Manager II LLC
        pooled vehicle sponsorn
      • Apollo Poland Real Estate Advisors, L.P.
        pooled vehicle sponsorn
      • Apollo Real Estate Advisors III, L.P.
        pooled vehicle sponsorn
      • Apollo Real Estate Advisors IV, L.P.
        pooled vehicle sponsorn
      • Apollo Real Estate Advisors V, L.P.
        pooled vehicle sponsorn
      • Apresco LLC
        pooled vehicle sponsorn
      • Apsecurities LLC
        pooled vehicle sponsorn
      • Area Eagle Co-Invest Advisors, L.P.
        pooled vehicle sponsorn
      • Area European Property Enhancement Advisors, L.P.
        bankpooled vehicle sponsorn
      • Area Uk Co-Invest, L.P.
        pooled vehicle sponsorn
      • Area-Caelus Co-Invest Advisors L.P.
        pooled vehicle sponsorn
      • Areg -T Advisors III, L.P.
        pooled vehicle sponsorn
      • Areg Aurora Co-Invest Incentive LLC
        pooled vehicle sponsorn
      Advisers that list Ares Capital Management III LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom34 employees
      • Los Angeles, CA31 employees
      • Paris, France6 employees
      • Frankfurt, Germany6 employees
      • New York, NY5 employees
      • Stockholm, Sweden4 employees
      • St Louis, MO3 employees
      • Luxembourg, Luxembourg1 employees
      What changed
      consecutive filings, newest first
      • Private funds · 3 to 4
        Jun 20, 2018 to Aug 23, 2018
      • Accounts · 3 to 6
        Sep 29, 2017 to Mar 31, 2018
      • Advisory employees · 101 to 90
        Sep 29, 2017 to Mar 31, 2018
      • Advisory activities · 1 to 2
        Sep 29, 2017 to Mar 31, 2018
      • BD registered reps · 2 to 0
        Sep 29, 2017 to Mar 31, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 29, 2017 to Mar 31, 2018
      • Assets in custody · $197M to $204M
        Sep 29, 2017 to Mar 31, 2018
      • Employees · 115 to 106
        Sep 29, 2017 to Mar 31, 2018
      • Other offices · unset to 8.0
        Sep 29, 2017 to Mar 31, 2018
      • Discretionary RAUM · $197M to $624M
        Sep 29, 2017 to Mar 31, 2018
      • HNW RAUM · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 0.0
        Sep 29, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 157651919.0
        Sep 29, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 203854747.0
        Sep 29, 2017 to Mar 31, 2018
      • RAUM · $197M to $624M
        Sep 29, 2017 to Mar 31, 2018
      • Accounts · 1 to 3
        Feb 23, 2017 to Mar 31, 2017
      • Advisory employees · 95 to 101
        Feb 23, 2017 to Mar 31, 2017
      • Assets in custody · unset to 197381199.0
        Feb 23, 2017 to Mar 31, 2017
      • Custody of client assets · false to true
        Feb 23, 2017 to Mar 31, 2017
      • Employees · 117 to 115
        Feb 23, 2017 to Mar 31, 2017
      • Private funds · 2 to 3
        Feb 23, 2017 to Mar 31, 2017
      • Discretionary RAUM · $165M to $197M
        Feb 23, 2017 to Mar 31, 2017
      • RAUM · $165M to $197M
        Feb 23, 2017 to Mar 31, 2017
      • Private funds · 1 to 2
        Mar 30, 2016 to Feb 23, 2017
      • Advisory employees · 87 to 95
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 1 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 109 to 117
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $164M to $165M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $164M to $165M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 71 to 87
        Mar 31, 2014 to Mar 31, 2015
      • BD registered reps · 0 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 99 to 109
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $158M to $164M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $158M to $164M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 0 to 1
        Jul 10, 2013 to Mar 31, 2014
      Signals
      2 dated events
      • Ares Capital Management Iii Llc reported RAUM $624.0M, up 216% from $197.4M (2017-09-29 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • Ares Capital Management Iii Llc filed its initial SEC registration (Form ADV)
        Jul 10, 2013 · First SEC registration · fact
      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