Investment adviser · CRD 115937

C III CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

HOUSTON, TX, United States · Form ADV filed Mar 31, 2021

Regulatory AUM
$1.91B
Form ADV · Item 5.F
Client accounts
6
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
1
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles6$1,913,987,488100.0%
Filing source

Form ADV 1518944 · Mar 31, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

3 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

BUCKHORN INVESTMENT PARTNERS I, L.P.Private Equity Fund · Last reported Mar 31, 2021$7.12MGross asset value
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-5823360131
Reported beneficial owners
7
Minimum commitment
$0

Form ADV 1518944 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

BUCKHORN INVESTMENT PARTNERS II, L.P.Private Equity Fund · Last reported Mar 31, 2021$1.9MGross asset value
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-7963342372
Reported beneficial owners
4
Minimum commitment
$0

Form ADV 1518944 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LION FUND, L.P.Hedge Fund · Last reported Mar 31, 2016$2.16MGross asset value
Auditor EEPB, P.C. HOUSTON, Texas, United States
Custodian BBVA COMPASS BANCSHARES, INC. HOUSTON, Texas, United States Related to adviser: No
Custodian E*TRADE CLEARING LLC HOUSTON, Texas, United States Related to adviser: No
Prime broker E*TRADE CLEARING LLC HOUSTON, Texas, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

E*TRADE CLEARING LLC
SEC 8-41354

E*TRADE CLEARING LLC
CRD 25025 · SEC 8-41354

Fund details & source
Fund ID
805-8083327659
Reported beneficial owners
4
Minimum commitment
$250K

Form ADV 997904 · Mar 31, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2021. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Fixed · Performance-based

Principal office

1415 LOUISIANA STREET, SUITE 2400
HOUSTON, TX, 77002, United States

CRD 115937

Filing source

Form ADV 1518944 · Mar 31, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.