Career
John Pollard has been Chief Compliance Officer of III Capital Management since January 2026. John Pollard is a control person of the firm and directly owns under 5% of it.
III Capital Management is a Boca Raton, FL firm with $88.2B under management, 21 clients and 9 advisers across 2 offices, as of its May 2026 filing.
III Capital Management identifies John Pollard as Chief Compliance Officer. He joined in April 2024 from EJF Capital, where he was Chief Compliance Officer and Chief Legal Officer, after more than ten years at the SEC’s Division of Examinations. He holds a J.D. from The Catholic University of America Columbus School of Law and a B.A. in Business Administration from Villanova University.
No adviser firm registrations are on John Pollard’s record.
Credentials and registrations
Examinations
No examinations are on John Pollard’s record.
Individual record
- Full name
- John David Jr Pollard
- CRD
- 7884559
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does John Pollard work?
John Pollard has been Chief Compliance Officer of III Capital Management since January 2026, and is a control person of the firm.
Does John Pollard have a current investment-adviser registration?
John Pollard has a current broker registration and no current investment-adviser registration.