Clients
III Capital Management serves 21 clients, 16 of them pooled investment vehicles. The average client has about $4.20 billion with the firm.
- Pooled investment vehicles16 clients71%
- Sovereign wealth funds and foreign official institutions27%
- OtherPension and profit-sharing plans, Charitable organizations, Corporations and other businesses1%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Pooled investment vehicles | 16 | $63,051,627,733 | 71.5% | $3.94B |
| Pension and profit-sharing plans | 5 | $771,234,339 | 0.9% | $154.2M |
| Charitable organizations | Not reported | $193,497,867 | 0.2% | — |
| Sovereign wealth funds and foreign official institutions | Not reported | $23,983,061,515 | 27.2% | — |
| Corporations and other businesses | Not reported | $236,493,646 | 0.3% | — |
| Total | 21 | $88,235,915,100 | 100% | $4.20B |
- Clients
- 16
- Regulatory AUM
- $63,051,627,733
- Share
- 71.5%
- Avg. per client
- $3.94B
- Clients
- 5
- Regulatory AUM
- $771,234,339
- Share
- 0.9%
- Avg. per client
- $154.2M
- Clients
- Not reported
- Regulatory AUM
- $193,497,867
- Share
- 0.2%
- Avg. per client
- —
- Clients
- Not reported
- Regulatory AUM
- $23,983,061,515
- Share
- 27.2%
- Avg. per client
- —
- Clients
- Not reported
- Regulatory AUM
- $236,493,646
- Share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 21
- Regulatory AUM
- $88,235,915,100
- Share
- 100%
- Avg. per client
- $4.20B
What it does
III Capital Management provides portfolio management for pooled vehicles, portfolio management for institutions and other activities. It is paid through a percentage of assets, performance-based fees and other arrangements.
III Capital Management provided financial planning to 0 clients last fiscal year and advises 8 private funds.
100.0% of assets ($88.24B across 25 accounts) are managed with discretion. 44% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Bonds22%
- U.S. government and agency bonds14%
- Sovereign bonds8%
- Other78%
- Convertible bonds, repurchase agreements, structured credit securities (e.g., clos and cdos).44%
- Derivatives34%
Custodians
III Capital Management’s client accounts are held mainly at BNY Mellon Capital Markets, with 32% of managed assets. III Capital Management has custody of $47.58B for 7 clients.
- BNY Mellon Capital MarketsBNY Mellon Capital Markets, LLC · New York, NY · $28.29B32%
- All other custodians$59.94B68%
Ownership and leadership
III Capital Management is owned through holding companies by Robert Printz, Lester Coyle, Scott Wyler, Jason Prest, Christian Pellegrino and Siddhartha Saraogi. Scott Wyler is its CEO.
- Owns 75% or more of III Capital Management
Thomas Olofsson
Control person · since January 2013
- Owns 75% or more of III Capital Management
Karen Hansen
Control person · since December 2020
- Owns 75% or more of III Capital Management
Yelena Anuar
Control person · since January 2022
- Owns 75% or more of III Capital Management
Clifford Viner
Control person · since April 1994
- Owns 10% to 25% of III Capital Management
Taylor Pepper, LLC
Control person · since January 2005
- Owns 75% or more of Taylor Pepper, LLC
Robert Printz
Control person · since December 2004
- Owns 10% to 25% of III Capital Management
Waverely, LLC
Control person · since January 2011
- Owns 75% or more of Waverely, LLC
Lester Coyle
Control person · since January 2011
- Owns 10% to 25% of III Capital Management
Wilder Ventures Inc.
Control person · since January 2018
- Owns 75% or more of Wilder Ventures Inc.
Jason Prest
Control person · since December 2017
- Owns 10% to 25% of III Capital Management
Lucalay LLC
Control person · since January 2022
- Owns 75% or more of Lucalay LLC
Christian Pellegrino
Control person · since January 2022
- Owns 5% to 10% of III Capital Management
Mobilou, Inc.
Control person · since January 2013
- Owns 75% or more of Mobilou, Inc.
Scott Wyler
Control person · since January 2013
- Owns 5% to 10% of III Capital Management
Saraogi Holdings, LLC
since January 2025
- Owns 75% or more of Saraogi Holdings, LLC
Siddhartha Saraogi
Control person · since January 2025
Leadership
- Scott WylerChief Executive Officer
- Robert PrintzPresident
- Yelena AnuarChief Financial Officer
- John PollardChief Compliance Officer
- Karen HansenGeneral Counsel
Staff
- 9 employees
- 9 in advisory functions
- 9 broker-dealer reps
- 2 soliciting firms
Reported holdings
III Capital Management’s reported 13F holdings total $394.0M across 49 positions, and the ten largest make up 80.4% of it.
- $394.0M
- Reported 13F value
- 49
- Positions
- 80.4%
- In the 10 largest
- +14.4%
- Value vs. prior quarter
- State Str SPDR S&P 500 ETF T · TR Unit63.3%
- iShares TR · Iboxx HI YD ETF6.3%
- iShares TR · Core S&P Mcp ETF2.4%
- Invesco Exchange Traded FD T · S&P500 Eql Wgt2.2%
- Crh PLC1.2%
- Genuine Parts CO1.1%
- Versigent PLC1.1%
- Hyatt Hotels Corp. · Com CL A1.0%
- T-mobile US Inc.1.0%
- Herc Hldgs Inc.0.9%
Together, the ten largest are 80.4% of reported value.
A 13F covers only exchange-traded long positions the firm holds with discretion, so this $394.0M is not its $88.24B in regulatory assets and does not represent any individual client's portfolio.
Fees
III Capital Management is paid through a percentage of assets under management, performance-based fees and other.
III Capital Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, III Capital Management has 1 office, with 2 listed addresses in 1 state.
Florida · 2 listed addresses
- 777 Yamato Road, Suite 300, Boca RatonHQ
- 777 Brickell Ave., Miami
Registration details
- Legal name
- III Capital Management
- Headquarters
- 777 Yamato Road, Suite 300, Boca Raton, FL 33431
- Phone
- 561-544-4600
- Website
- www.iiicapitalmanagement.com
- SEC file
- 801-60505
- Structure
- Nevada partnership
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does III Capital Management have?
III Capital Management has 21 clients and manages $88.2 billion for them, as of May 2026. They include 16 pooled investment vehicles and 5 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 7 May 2026
What services does III Capital Management offer?
III Capital Management provides portfolio management for pooled vehicles, portfolio management for institutions and other activities.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does III Capital Management use?
III Capital Management’s separately managed account assets are held at BNY Mellon Capital Markets, LLC (New York, NY), with $28,291,859,868. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 May 2026
How many financial advisors does III Capital Management have?
III Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 9 are registered representatives of a broker-dealer and 0 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does III Capital Management invest in?
At the end of its last fiscal year, III Capital Management’s separately managed accounts held 44% convertible bonds, repurchase agreements, structured credit securities (e.g., clos and cdos)., 34% derivatives, 14% U.S. government and agency bonds and 8% sovereign bonds. It advises 8 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns III Capital Management?
III Capital Management is owned through holding companies by Robert Printz, Lester Coyle, Scott Wyler, Jason Prest, Christian Pellegrino and Siddhartha Saraogi. Its direct owners are Taylor Pepper, LLC (10% to 25%), Waverely, LLC (10% to 25%), Mobilou, Inc. (5% to 10%), Wilder Ventures Inc. (10% to 25%), Lucalay LLC (10% to 25%), Saraogi Holdings, LLC (5% to 10%), Thomas Olofsson (75% or more), Karen Hansen (75% or more), Yelena Anuar (75% or more) and Clifford Viner (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 7 May 2026
How does III Capital Management get paid?
III Capital Management is paid through a percentage of assets under management, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file