{
  "crd_number": 157547,
  "slug": "ac3-capital-157547",
  "primary_business_name": "AC3 CAPITAL",
  "legal_name": "AC3 CAPITAL, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2012-04-27",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-03-28",
  "carried_forward": false,
  "raum_total": 18879678.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 18879678.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 18879678.0,
      "count": 2,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://linkedin.com/in/avelinocortina"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157547",
  "listing_state": "CA",
  "disclosure_items": [
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/ac3-capital-157547",
  "display_name": "AC3 Capital",
  "summary": "AC3 Capital is a state-registered investment advisory firm, registered since 2012, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 28, 2026.",
  "citation": "AdvisorCensus. AC3 Capital (CRD 157547): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is AC3 Capital compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), AC3 Capital reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is AC3 Capital registered with the SEC or a state?",
      "a": "AC3 Capital is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 157547."
    },
    {
      "q": "How much does AC3 Capital manage?",
      "a": "AC3 Capital reports $18,879,678 in regulatory assets under management in its Form ADV filing dated March 28, 2026 (0% discretionary)."
    },
    {
      "q": "What types of clients does AC3 Capital serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (2)."
    },
    {
      "q": "Does AC3 Capital report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/157547"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/ac3-capital-157547.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 2,
      "fewer_than_5": true,
      "raum": 18879678.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157547",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}