Private fund adviser · New York, NY
C-Iii Investment Management LLC
SEC-registered investment adviser · CRD 156553 · SEC 801-72474
At a glance
C-Iii Investment Management LLC is an SEC-registered investment adviser based in New York, New York, with $2.5 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 1,477th of 4,686 private fund advisers and 3,199th of 17,210 SEC-registered advisers by assets.
Main office 212-705-5000c3cp.comAs filed on Form ADV
- Regulatory AUM
- $2.5B
- Rank among private fund advisers
- #1,477 of 4,686
- Rank among all SEC RIAs
- #3,199 of 17,210
- Rank in New York
- #769 of 2,591
- Clients
- 9
- Accounts
- 9
- Discretionary
- 80% of AUM
- Employees
- 80
- Advisory staff
- 30
- Offices
- 6
Owners and executives on its Form ADV
- Andrew L. FarkasChief Executive Officer
- Jeffrey P. CohenPresident
- Paul A. HughsonExecutive Managing Director
- Lawrence S. BlockSenior Managing Director, Co-General Counsel and Chief Compliance Officer
- Katherine D. FurmanSenior Managing Director
- Jon B. SchneidmanSenior Managing Director
- Diana W. WhiteManaging Director
- Edward C. TaiManaging Director
- Stephen B. WatersManaging Director and Chief Accounting Officer
- Jeffrey T. PisanoSenior Managing Director
- Marc W. LevyExecutive Managing Director
- Mark P. LandeSenior Managing Director, Co-General Counsel and Secretary
Custody and brokerage
Broker-dealer
Hybrid RIA
C-Iii Investment Management LLC is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Anubis Securities LLC.
- Anubis Securities LLC ↗CRD 157642
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 8 | $2.4B | 99% |
| Insurance companies | 1 | $20M | <1% |
Private funds
C-Iii Investment Management LLC reports 8 private funds with $2.4B in gross assets: hedge funds, real estate funds, securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
C-Iii Investment Management LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗c3cp.com ↗
AtlasMembers
The full record on C-Iii Investment Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,763 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 12 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does C-Iii Investment Management LLC manage?
C-Iii Investment Management LLC reports $2.5 billion in regulatory assets under management across 9 accounts, 80% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is C-Iii Investment Management LLC?
C-Iii Investment Management LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are C-Iii Investment Management LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($2.4 billion, 8 clients); insurance companies ($20 million, 1 clients).
Does C-Iii Investment Management LLC manage private funds?
Yes. It reports 8 private funds with $2.4 billion in gross assets, including hedge funds, real estate funds, securitized asset funds.
Does C-Iii Investment Management LLC have any disciplinary history?
C-Iii Investment Management LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is C-Iii Investment Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →