Iii Capital Management

III Capital Management is a financial advisor firm established on June 30, 1993, operating in compliance with the Investment Advisers Act of 1940. The firm specializes in advising private investment funds for institutional investors and high net worth individuals. As of December 31, 2024, III managed over $5 billion in discretionary assets across various investment strategies, including fixed income, credit, equity market neutral, and macro-credit. III charges management fees based on the assets under management and may receive performance-based fees. The firm is a fiduciary acting in the best interests of its clients and exercises investment discretion for most managed accounts. III's investment strategies involve various methods of analysis, such as fundamental and technical analysis, with a focus on risk management and defining risk in trading transactions. III does not engage in principal transactions and has a detailed Code of Ethics to ensure compliance with applicable laws and regulations. The firm may receive research, software, and other benefits from broker-dealers, which are considered in trade execution decisions. III reviews client accounts daily, votes on client securities, and provides detailed reports to investors. III does not require prepayment of advisory fees and maintains financial stability to meet its commitments to clients.