Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by C-iii Investment Management LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
C-III CAPITAL PARTNERS LLCDirect owner · Schedule AInterest in C-III INVESTMENT MANAGEMENT LLC
75%+
ISLAND CAPITAL GROUP LLCIndirect owner · Schedule BInterest in ISLAND C-III DIRECTIVES LLC
75%+
ANDREW LAWRENCE FARKASIndirect owner · Schedule BInterest in ANDREW L. FARKAS REVOCABLE TRUST
75%+
ANUBIS ADVISORS LLCIndirect owner · Schedule BInterest in ISLAND C-III MANAGER LLC
75%+
ISLAND CAPITAL GROUP LLCIndirect owner · Schedule BInterest in ANUBIS ADVISORS LLC
75%+
ISLAND CAPITAL GROUP LLCIndirect owner · Schedule BInterest in ISLAND C-III DIRECTIVES II LLC
75%+
ISLAND C-III HOLDINGS LLCIndirect owner · Schedule BInterest in C-III CAPITAL PARTNERS LLC
25% to < 50%
ISLAND C-III HOLDINGS II LLCIndirect owner · Schedule BInterest in C-III CAPITAL PARTNERS LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to C-iii Investment Management LLC.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | C-III CAPITAL PARTNERS LLCMEMBER, C-III INVESTMENT MANAGEMENT LLCDomestic entity | C-III INVESTMENT MANAGEMENT LLC | 75% or moreCode E | Yes | MEMBER, C-III INVESTMENT MANAGEMENT LLC11/2010 | Schedule APDF page 85 |
| 2 | ANDREW LAWRENCE FARKASCHIEF EXECUTIVE OFFICERIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER04/2011 | Schedule APDF page 85 |
| 3 | JEFFREY PATRICK COHENPRESIDENTIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | Yes | PRESIDENT01/2019 | Schedule APDF page 85 |
| 4 | PAUL ANDREW HUGHSONEXECUTIVE MANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | Yes | EXECUTIVE MANAGING DIRECTOR12/2010 | Schedule APDF page 85 |
| 5 | LAWRENCE STEVEN BLOCKSENIOR MANAGING DIRECTOR, CO- GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICERIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | Yes | SENIOR MANAGING DIRECTOR, CO- GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER01/2011 | Schedule APDF page 85 |
| 6 | KATHERINE DREW FURMANSENIOR MANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | SENIOR MANAGING DIRECTOR09/2012 | Schedule APDF page 85 |
| 7 | JON BAER SCHNEIDMANSENIOR MANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | SENIOR MANAGING DIRECTOR02/2022 | Schedule APDF page 85 |
| 8 | DIANA WILSON WHITEMANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | MANAGING DIRECTOR02/2022 | Schedule APDF page 85 |
| 9 | EDWARD C. TAIMANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | MANAGING DIRECTOR09/2012 | Schedule APDF page 85 |
| 10 | STEPHEN BEDINGFIELD WATERSMANAGING DIRECTOR AND CHIEF ACCOUNTING OFFICERIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND CHIEF ACCOUNTING OFFICER01/2022 | Schedule APDF page 85 |
| 11 | JEFFREY THOMAS PISANOSENIOR MANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | SENIOR MANAGING DIRECTOR06/2023 | Schedule APDF page 85 |
| 12 | MARC WILLIAM LEVYEXECUTIVE MANAGING DIRECTORIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | EXECUTIVE MANAGING DIRECTOR12/2022 | Schedule APDF page 85 |
| 13 | MARK PAUL LANDESENIOR MANAGING DIRECTOR, CO- GENERAL COUNSEL AND SECRETARYIndividual | C-III INVESTMENT MANAGEMENT LLC | Less than 5%Code NA | No | SENIOR MANAGING DIRECTOR, CO- GENERAL COUNSEL AND SECRETARY11/2013 | Schedule APDF page 85 |
| 14 | ISLAND C-III HOLDINGS LLCMEMBERDomestic entity | C-III CAPITAL PARTNERS LLC | 25% to less than 50%Code C | Yes | MEMBER02/2010 | Schedule BPDF page 85 |
| 15 | ISLAND C-III DIRECTIVES LLCMANAGING MEMBERDomestic entity | ISLAND C-III HOLDINGS LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER11/2009 | Schedule BPDF page 85 |
| 16 | ISLAND CAPITAL GROUP LLCMEMBERDomestic entity | ISLAND C-III DIRECTIVES LLC | 75% or moreCode E | Yes | MEMBER10/2009 | Schedule BPDF page 85 |
| 17 | ANDREW LAWRENCE FARKASSETTLOR, TRUSTEE AND BENEFICIARYIndividual | ANDREW L. FARKAS REVOCABLE TRUST | 75% or moreCode E | Yes | SETTLOR, TRUSTEE AND BENEFICIARY05/2025 | Schedule BPDF page 86 |
| 18 | ISLAND C-III MANAGER LLCMANAGERDomestic entity | C-III CAPITAL PARTNERS LLC | Percentage not specifiedCode F | Yes | MANAGER02/2010 | Schedule BPDF page 86 |
| 19 | ANUBIS ADVISORS LLCMEMBERDomestic entity | ISLAND C-III MANAGER LLC | 75% or moreCode E | Yes | MEMBER03/2010 | Schedule BPDF page 86 |
| 20 | ISLAND CAPITAL GROUP LLCMEMBERDomestic entity | ANUBIS ADVISORS LLC | 75% or moreCode E | Yes | MEMBER03/2010 | Schedule BPDF page 86 |
| 21 | ANDREW LAWRENCE FARKASMEMBER OF BOARD OF MANAGERSIndividual | C-III CAPITAL PARTNERS LLC | Percentage not specifiedCode F | Yes | MEMBER OF BOARD OF MANAGERS02/2010 | Schedule BPDF page 86 |
| 22 | JEFFREY PATRICK COHENMEMBER OF BOARD OF MANAGERSIndividual | C-III CAPITAL PARTNERS LLC | Percentage not specifiedCode F | Yes | MEMBER OF BOARD OF MANAGERS02/2010 | Schedule BPDF page 86 |
| 23 | SIDNEY JOSEPH REISMANMEMBER OF BOARD OF MANAGERSIndividual | C-III CAPITAL PARTNERS LLC | Percentage not specifiedCode F | Yes | MEMBER OF BOARD OF MANAGERS02/2010 | Schedule BPDF page 86 |
| 24 | ISLAND C-III DIRECTIVES II LLCMANAGING MEMBERDomestic entity | ISLAND C-III HOLDINGS II LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER05/2010 | Schedule BPDF page 86 |
| 25 | ISLAND CAPITAL GROUP LLCMEMBERDomestic entity | ISLAND C-III DIRECTIVES II LLC | 75% or moreCode E | Yes | MEMBER05/2010 | Schedule BPDF page 86 |
| 26 | ISLAND C-III HOLDINGS II LLCMEMBERDomestic entity | C-III CAPITAL PARTNERS LLC | 25% to less than 50%Code C | Yes | MEMBER05/2010 | Schedule BPDF page 86 |
| 27 | MICHAEL GERSHON JESSELSONMEMBER OF BOARD OF MANAGERSIndividual | C-III CAPITAL PARTNERS LLC | Percentage not specifiedCode F | Yes | MEMBER OF BOARD OF MANAGERS05/2012 | Schedule BPDF page 86 |
| 28 | ANDREW L. FARKAS REVOCABLE TRUSTMANAGING MEMBERDomestic entity | ISLAND CAPITAL GROUP LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER05/2025 | Schedule BPDF page 86 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 2:11:57 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.