# C-III Investment Management LLC

> 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.

- CRD: 156553
- Filed as: C-III INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/156553
- AdvisorCensus page: https://advisorcensus.com/firm/c-iii-investment-management-llc-new-york-ny-156553

## Quick answers

**How is C-III Investment Management LLC compensated?**
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.

**Where is C-III Investment Management LLC located?**
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).

**Is C-III Investment Management LLC registered with the SEC or a state?**
C-III Investment Management LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156553.

**How much does C-III Investment Management LLC manage?**
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).

**How have C-III Investment Management LLC's assets and staff changed since 2021?**
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.

**What types of clients does C-III Investment Management LLC serve?**
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).

**Which custodians does C-III Investment Management LLC use?**
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.

**Does C-III Investment Management LLC report any disciplinary disclosures?**
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

**What changed in C-III Investment Management LLC's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees
- Other

### Custodians (Schedule D, Section 5.K(3))
- Citibank Securities

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.

### Regulatory assets under management (Item 5.F)
- Total: $2,465,128,927
- Discretionary: $1,961,518,849
- Non-discretionary: $503,610,078

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 8 | $2,444,970,253 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 1 | $20,158,674 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2011 (15 years)
- Employees: 80 total, 30 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, SC, TN, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Greenville, SC
- Irving, TX
- Nashville, TN
- New York, NY

### Websites listed on Form ADV (Item 1.I)
- c3cp.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $4,524,345,581 | 115 | August 23, 2021 |
| October 2022 | $4,408,829,741 | 100 | August 23, 2022 |
| October 2023 | $3,896,412,342 | 100 | August 30, 2023 |
| October 2024 | $3,475,010,379 | 85 | July 29, 2024 |
| October 2025 | $3,054,089,613 | 85 | May 30, 2025 |
| October 2026 | $2,465,128,927 | 80 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

### December 2025
- Added an office in Nashville, TN.
- Registered or notice-filed in TN.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. C-III Investment Management LLC (CRD 156553): Form ADV filing data as of October 2026.