AdvisorCensus / Financial advisors / Florida / Miami / III Capital Management
III Capital Management is an SEC-registered investment advisory firm in Boca Raton, FL, registered since 2001, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 7, 2026.
Quick answers
From the filingHow is III Capital Management compensated?
On its Form ADV (Item 5.E, October 2026), III Capital Management reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other.
Where is III Capital Management located?
III Capital Management's principal office is in Boca Raton, FL, according to its Form ADV; the June 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is III Capital Management registered with the SEC or a state?
III Capital Management is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 113539.
How much does III Capital Management manage?
III Capital Management reports $88,235,915,100 in regulatory assets under management in its Form ADV filing dated May 7, 2026 (100% discretionary).
How have III Capital Management's assets and staff changed since 2021?
In the Form ADV data for III Capital Management: Regulatory assets under management: $29,678,058,807 in the October 2021 data and $88,235,915,100 in the October 2026 data, up 197%. Total employees: 9 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does III Capital Management serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (16); pension and profit sharing plans (but not the plan participants or government pension plans) (5).
Which custodians does III Capital Management use?
III Capital Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BNY Mellon Capital Markets, LLC as a custodian holding 10% or more of its separately managed account assets.
Does III Capital Management 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/113539
What changed in III Capital Management's recent Form ADV filings?
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated May 7, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$88,235,915,100 as of October 2026, filing dated May 7, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
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
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2001 (25 years)
- Employees
- Total: 9. Performing investment advisory functions: 9.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the June 2026 filing
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $88,235,915,100 | 9 | May 7, 2026 |
| October 2025 | $85,069,518,850 | 9 | March 31, 2025 |
| October 2024 | $39,514,428,923 | 8 | August 16, 2024 |
| October 2023 | $33,254,393,444 | 8 | August 1, 2023 |
| October 2022 | $57,115,755,602 | 11 | May 12, 2022 |
| October 2021 | $29,678,058,807 | 9 | May 13, 2021 |
Regulatory assets under management: $29,678,058,807 in the October 2021 data and $88,235,915,100 in the October 2026 data, up 197%.
Total employees: 9 in October 2021 and 9 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. III Capital Management (CRD 113539): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/iii-capital-management-boca-raton-fl-113539