C Iii Capital Management, LLC (Houston)

C Iii Capital Management, LLC is a large advisory firm based in Houston. It manages $1.08 billion of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of Texas.

C Iii Capital Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

C Iii Capital Management: assets under management

The assets under management (AUM) of C Iii Capital Management, LLC is $1.08 billion. The firm's AUM has grown by 224% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.73 million in discretionary accounts and $1.07 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.36 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $268.27 million.

C Iii Capital Management has custody of $6.73 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay C Iii Capital Management, LLC for their services and products based on fixed fees and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients C Iii Capital Management serves?

The only and largest group of clients of C Iii Capital Management is pooled investment vehicles with 6 clients and $1.08 billion of assets under management. Among the 9 most similar advisory firms, C Iii Capital Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.08 billion for 6 clients. None of the firm’s clients are foreign persons or businesses.

C Iii Capital Management also advises several private funds. Namely, two private equity funds.

Careers at C Iii Capital Management, LLC

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Corbin James Robertson	Managing member and owner, c iii capital management llc	1 Aug 2000	75% - 100%	4477114
Brooke Trotter Robertson	Owner, c iii capital management, llc	1 Aug 2000	Other	6200632
Llc C Iii Capital Management	General partner of robertson fund management lp (relying adviser)	1 Aug 2000	Other	115937
Brooke T Robertson	Owner, c iii capital management, llc	1 Aug 2000	Other	6200632
Christine Robertson Morenz	Limited partner, robertson fund management, lp (relying adviser)	1 Oct 2004	Other	6029701
Christine R. Morenz	Limited partner, robertson fund management, lp (relying adviser)	1 Oct 2004	Other	6029701
Jr. H.R. Cullen Estate Trust For Corbin J Robertson	Limited partner, robertson fund management, lp (relying adviser)	1 Sep 2010	Other	74-6036906
Marie Theresa Ashley	Chief compliance officer	1 May 2013	Other	6201256
Marie T. Ashley	Chief compliance officer	1 May 2013	Other	6201256

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Wilhelmina R Robertson	Trustee, h.r. cullen estate trust for corbin j. robertson, jr.	1 Aug 2000	Other	4469107
Carol Robertson Ray	Trustee, h.r. cullen estate trust for corbin j. robertson, jr.	1 Aug 2000	Other	6201508
Lillie Therese Robertson	Trustee, h.r. cullen estate trust for corbin j. robertson, jr.	1 Aug 2000	Other	6201511

Based in Houston

The principal office where C Iii Capital Management, LLC performs its advisory services is located at 1415 Louisiana Street, Houston, TX 77002, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-751-7577 or by fax 281-657-8070. The normal business hours are 8:30 to 5:00 on Monday - Friday.