{
  "crd_number": 156553,
  "slug": "c-iii-investment-management-llc-new-york-ny-156553",
  "primary_business_name": "C-III INVESTMENT MANAGEMENT LLC",
  "legal_name": "C-III INVESTMENT MANAGEMENT LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2011-06-29",
  "years_registered": 15,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 2465128927.0,
  "raum_discretionary": 1961518849.0,
  "raum_non_discretionary": 503610078.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 80,
  "advisory_employees": 30,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 20158674.0,
      "count": 1,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 2444970253.0,
      "count": 8
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "SC",
    "TN",
    "TX"
  ],
  "websites": [
    "https://c3cp.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/156553",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/c-iii-investment-management-llc-new-york-ny-156553",
  "display_name": "C-III Investment Management LLC",
  "summary": "C-III Investment Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. C-III Investment Management LLC (CRD 156553): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is C-III Investment Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), C-III Investment Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other."
    },
    {
      "q": "Where is C-III Investment Management LLC located?",
      "a": "C-III Investment Management LLC's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is C-III Investment Management LLC registered with the SEC or a state?",
      "a": "C-III Investment Management LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156553."
    },
    {
      "q": "How much does C-III Investment Management LLC manage?",
      "a": "C-III Investment Management LLC reports $2,465,128,927 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (80% discretionary)."
    },
    {
      "q": "How have C-III Investment Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for C-III Investment Management LLC: Regulatory assets under management: $4,524,345,581 in the October 2021 data and $2,465,128,927 in the October 2026 data, down 46%. Total employees: 115 in October 2021 and 80 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does C-III Investment Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (8); insurance companies (1)."
    },
    {
      "q": "Which custodians does C-III Investment Management LLC use?",
      "a": "C-III Investment Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Citibank Securities as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does C-III Investment Management LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/156553"
    },
    {
      "q": "What changed in C-III Investment Management LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $3,054,089,613 to $2,465,128,927 (-19%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4524345581.0,
      "total_employees": 115,
      "filing_date": "2021-08-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 4408829741.0,
      "total_employees": 100,
      "filing_date": "2022-08-23"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 3896412342.0,
      "total_employees": 100,
      "filing_date": "2023-08-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 3475010379.0,
      "total_employees": 85,
      "filing_date": "2024-07-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3054089613.0,
      "total_employees": 85,
      "filing_date": "2025-05-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2465128927.0,
      "total_employees": 80,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $3,054,089,613 to $2,465,128,927 (-19%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Added an office in Nashville, TN.",
        "Registered or notice-filed in TN."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Citibank Securities",
      "name_as_filed": "CITIBANK SECURITIES",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/c-iii-investment-management-llc-new-york-ny-156553.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 2444970253.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 1,
      "fewer_than_5": true,
      "raum": 20158674.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/156553",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}