III CAPITAL MANAGEMENT

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III Capital Management is based out of Boca Raton. III Capital Management is a large advisory firm with 31 clients and discretionary assets under management (AUM) of $41,903,159,547 (Form ADV from 2019-06-06). Their last reported 13F filing for Q3 2019 included $224,208,000 in managed 13F securities and a top 10 holdings concentration of 72.43%. III Capital Management's largest holding is Aerojet Rocketdyne Holdings, Inc. (General Tire and Rubber) with shares held of 12,750,000. Whalewisdom has at least 2 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $224.208 Million
  • Prior Market Value $134.439 Million
  • New Purchases27 stocks
  • Additional Purchases10 stocks
  • Sold out of24 stocks
  • Reduced holdings in7 stocks
  • Top 10 Holdings % 72.43 %
  • Turnover % [1]:110.87%
  • Turnover Alt % [2]: 64.50 %
  • Time Held Top20:0.40 quarters
  • Time Held Top10:0.40 quarters
  • Time Held All:0.41 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.6%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

III CAPITAL MANAGEMENT
Classified as Hedge Fund
777 YAMATO ROAD SUITE 300
BOCA RATON FL    33431
Country: United States

Business Phone: 561-544-4400
Fax: 561-544-4433
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Partnership
Organized in: NV
Number of employees: 11
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 2,779,610,000
Total Number of Clients: 31
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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III CAPITAL MANAGEMENT

ownership team - last updated 2019-06-06
Name Title Start Date Direct/Indirect % Ownership
WYLER, SCOTT, LAWRENCE PRESIDENT; CHIEF COMPLIANCE OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
MARATHON FINANCIAL, INC. GENERAL PARTNER 04/01/1994 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
WALLNER CO., INC. GENERAL PARTNER 04/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
HELIOS LLC GENERAL PARTNER 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-07-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2002-07-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2003-07-01
ADLEX LLC GENERAL PARTNER 12/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-12-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2003-12-01
TAYLOR PEPPER, LLC GENERAL PARTNER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2005-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2005-01-01
BRYNFORD, LLC GENERAL PARTNER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2009-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2009-01-01
WAVERELY, LLC GENERAL PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2011-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2011-01-01
VERDANDI, LLC GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
MOBILOU, INC. GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
STOLLERY, LLC GENERAL PARTNER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2014-01-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2014-01-01
ANUAR, YELENA CHIEF FINANCIAL OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF FINANCIAL OFFICER direct 2014-07-01
III CAPITAL MANAGEMENT CHIEF FINANCIAL OFFICER direct 2014-07-01
FRIESEN, GARTH, (NMN) CHIEF EXECUTIVE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
HANSEN, KAREN, MARIE GENERAL COUNSEL 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL COUNSEL direct 2017-09-01
FLAG CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-05-01
POMONA MANAGEMENT LLC GENERAL COUNSEL direct 2011-03-01
WILDER VENTURES INC. GENERAL PARTNER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2018-01-01
VINER, CLIFFORD, GEORGE SHAREHOLDER/OWNER WALLNER CO., INC. 02/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-02-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-02-01
REGER, MICHAEL, LLOYD SHAREHOLDER/OWNER MARATHON FINANCIAL, INC. 12/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-12-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-12-01
MCCAULEY, WILLIAM, PATRICK SHAREHOLDER/OWNER HELIOS LLC 03/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF EXECUTIVE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2002-03-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2002-03-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2002-03-01 2002-07-17
III OFFSHORE ADVISORS CHIEF EXECUTIVE OFFICER direct 1999-02-01 2017-04-26
FRIESEN, GARTH SHAREHOLDER/OWNER ADLEX CORPORATION 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
PRINTZ, ROBERT, ANDREW SHAREHOLDER/OWNER TAYLOR PEPPER, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2004-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2004-12-01
FEENEY, FRANCIS, DOMINIC SHAREHOLDER/OWNER BRYNFORD LLC 01/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2009-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2009-01-01
COYLE, LESTER, NOEL OWNER/SHAREHOLDER WAVERELY, LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2011-01-01
III OFFSHORE ADVISORS OWNER/SHAREHOLDER indirect 2011-01-01
WYLER, SCOTT, LAWRENCE SHAREHOLDER/OWNER MOBILOU, INC. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
OLOFSSON, THOMAS, ROLF SHAREHOLDER/OWNER VERDANDI, LLC 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2013-01-01
KUMAR, DEEP SHAREHOLDER/OWNER STOLLERY, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2014-01-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2014-01-01
GALLE GLOBAL MACRO PARTNERS, LLC DEPUTY CHIEF INVESTMENT OFFICER direct 2010-02-01
PREST, JASON MANAGER WILDER VENTURES INC. 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT MANAGER indirect 2017-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
III R TAIL FUND LTD. Cayman Islands 805-4001215856 Hedge Fund 0 1,000,000
III GOVERNMENT RELATIVE VALUE HUB FUND LTD. Cayman Islands 805-7023442991 Hedge Fund 5,024,690,205 1,000,000 Master Fund
III VOLGA MULTI-STRATEGY FUND L.P. United States 805-5134605559 Hedge Fund 311,934,033 1,000,000
III CRE BRIDGE LOAN FUND L.P. United States 805-2453653782 Real Estate Fund 51,260,000 1,000,000
III CONVEX STRATEGIES HUB FUND LTD Cayman Islands 805-9551984358 Hedge Fund 929,893,675 1,000,000 Master Fund
III SELECT CREDIT HUB FUND LTD. Cayman Islands 805-3840497130 Hedge Fund 252,829,000 1,000,000 Master Fund
III CREDIT OPPORTUNITIES HUB FUND LTD. Cayman Islands 805-6889322513 Hedge Fund 452,407,323 1,000,000 Master Fund
III RELATIVE VALUE CREDIT STRATEGIES HUB FUND LTD. Cayman Islands 805-8189815585 Hedge Fund 267,993,004 1,000,000 Master Fund
III TERM CREDIT HUB FUND LTD. Cayman Islands 805-5557393840 Hedge Fund 18,081,065,929 1,000,000 Master Fund
III FINANCE LTD. Cayman Islands 805-2346536452 Hedge Fund 5,277,345,697 1,000,000 Master Fund
III ABSOLUTE RETURN FUND LTD. Cayman Islands 805-6447702762 Hedge Fund 4,315,934,287 1,000,000
III EP STRATEGIES SPC - III EP TAIL STRATEGIES SP Cayman Islands 805-7905494051 Hedge Fund 51,068,048 1,000,000 Master Fund
III EP CREDIT STRATEGIES ERISA SP Cayman Islands 805-1071414328 Hedge Fund 103,854,894 1,000,000

III CAPITAL MANAGEMENT

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
WYLER, SCOTT, LAWRENCE PRESIDENT; CHIEF COMPLIANCE OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
MARATHON FINANCIAL, INC. GENERAL PARTNER 04/01/1994 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
WALLNER CO., INC. GENERAL PARTNER 04/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
HELIOS LLC GENERAL PARTNER 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-07-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2002-07-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2003-07-01
ADLEX LLC GENERAL PARTNER 12/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-12-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2003-12-01
TAYLOR PEPPER, LLC GENERAL PARTNER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2005-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2005-01-01
BRYNFORD, LLC GENERAL PARTNER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2009-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2009-01-01
WAVERELY, LLC GENERAL PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2011-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2011-01-01
VERDANDI, LLC GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
MOBILOU, INC. GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
STOLLERY, LLC GENERAL PARTNER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2014-01-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2014-01-01
ANUAR, YELENA CHIEF FINANCIAL OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF FINANCIAL OFFICER direct 2014-07-01
III CAPITAL MANAGEMENT CHIEF FINANCIAL OFFICER direct 2014-07-01
FRIESEN, GARTH, (NMN) CHIEF EXECUTIVE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
HANSEN, KAREN, MARIE GENERAL COUNSEL 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL COUNSEL direct 2017-09-01
FLAG CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-05-01
POMONA MANAGEMENT LLC GENERAL COUNSEL direct 2011-03-01
WILDER VENTURES INC. GENERAL PARTNER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2018-01-01
VINER, CLIFFORD, GEORGE SHAREHOLDER/OWNER WALLNER CO., INC. 02/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-02-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-02-01
REGER, MICHAEL, LLOYD SHAREHOLDER/OWNER MARATHON FINANCIAL, INC. 12/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-12-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-12-01
MCCAULEY, WILLIAM, PATRICK SHAREHOLDER/OWNER HELIOS LLC 03/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF EXECUTIVE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2002-03-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2002-03-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2002-03-01 2002-07-17
III OFFSHORE ADVISORS CHIEF EXECUTIVE OFFICER direct 1999-02-01 2017-04-26
FRIESEN, GARTH SHAREHOLDER/OWNER ADLEX CORPORATION 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
PRINTZ, ROBERT, ANDREW SHAREHOLDER/OWNER TAYLOR PEPPER, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2004-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2004-12-01
FEENEY, FRANCIS, DOMINIC SHAREHOLDER/OWNER BRYNFORD LLC 01/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2009-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2009-01-01
COYLE, LESTER, NOEL OWNER/SHAREHOLDER WAVERELY, LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2011-01-01
III OFFSHORE ADVISORS OWNER/SHAREHOLDER indirect 2011-01-01
WYLER, SCOTT, LAWRENCE SHAREHOLDER/OWNER MOBILOU, INC. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
OLOFSSON, THOMAS, ROLF SHAREHOLDER/OWNER VERDANDI, LLC 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2013-01-01
KUMAR, DEEP SHAREHOLDER/OWNER STOLLERY, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2014-01-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2014-01-01
GALLE GLOBAL MACRO PARTNERS, LLC DEPUTY CHIEF INVESTMENT OFFICER direct 2010-02-01
PREST, JASON MANAGER WILDER VENTURES INC. 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT MANAGER indirect 2017-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
III VOLGA MULTI-STRATEGY FUND L.P. United States 805-5134605559 Hedge Fund 0 1,000,000
III CRE BRIDGE LOAN FUND L.P. United States 805-2453653782 Real Estate Fund 51,260,000 1,000,000
III CONVEX STRATEGIES HUB FUND LTD Cayman Islands 805-9551984358 Hedge Fund 929,893,675 1,000,000 Master Fund
III SELECT CREDIT HUB FUND LTD. Cayman Islands 805-3840497130 Hedge Fund 252,829,000 1,000,000 Master Fund
III CREDIT OPPORTUNITIES HUB FUND LTD. Cayman Islands 805-6889322513 Hedge Fund 452,407,323 1,000,000 Master Fund
III RELATIVE VALUE CREDIT STRATEGIES HUB FUND LTD. Cayman Islands 805-8189815585 Hedge Fund 267,993,004 1,000,000 Master Fund
III TERM CREDIT HUB FUND LTD. Cayman Islands 805-5557393840 Hedge Fund 18,081,065,929 1,000,000 Master Fund
III FINANCE LTD. Cayman Islands 805-2346536452 Hedge Fund 5,277,345,697 1,000,000 Master Fund
III ABSOLUTE RETURN FUND LTD. Cayman Islands 805-6447702762 Hedge Fund 4,315,934,287 1,000,000
III EP STRATEGIES SPC - III EP TAIL STRATEGIES SP Cayman Islands 805-7905494051 Hedge Fund 51,068,048 1,000,000 Master Fund
III EP CREDIT STRATEGIES ERISA SP Cayman Islands 805-1071414328 Hedge Fund 0 1,000,000

III CAPITAL MANAGEMENT

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
WYLER, SCOTT, LAWRENCE PRESIDENT; CHIEF COMPLIANCE OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
MARATHON FINANCIAL, INC. GENERAL PARTNER 04/01/1994 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
WALLNER CO., INC. GENERAL PARTNER 04/01/1994 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS GENERAL PARTNER direct 1994-04-01
III ASSOCIATES GENERAL PARTNER direct 1994-04-01
HELIOS LLC GENERAL PARTNER 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-07-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2002-07-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2003-07-01
ADLEX LLC GENERAL PARTNER 12/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2003-12-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2003-12-01
TAYLOR PEPPER, LLC GENERAL PARTNER 01/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2005-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2005-01-01
BRYNFORD, LLC GENERAL PARTNER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2009-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2009-01-01
WAVERELY, LLC GENERAL PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2011-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2011-01-01
VERDANDI, LLC GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
MOBILOU, INC. GENERAL PARTNER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2013-01-01
III OFFSHORE ADVISORS GENERAL PARTNER direct 2013-01-01
STOLLERY, LLC GENERAL PARTNER 01/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III ASSOCIATES GENERAL PARTNER direct 2014-01-01
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2014-01-01
HANSEN, KAREN, MARIE GENERAL COUNSEL 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL COUNSEL direct 2017-09-01
FLAG CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-05-01
POMONA MANAGEMENT LLC GENERAL COUNSEL direct 2011-03-01
ANUAR, YELENA CHIEF FINANCIAL OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF FINANCIAL OFFICER direct 2014-07-01
III CAPITAL MANAGEMENT CHIEF FINANCIAL OFFICER direct 2014-07-01
FRIESEN, GARTH, (NMN) CHIEF EXECUTIVE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
WILDER VENTURES INC. GENERAL PARTNER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT GENERAL PARTNER direct 2018-01-01
VINER, CLIFFORD, GEORGE SHAREHOLDER/OWNER WALLNER CO., INC. 02/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-02-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-02-01
REGER, MICHAEL, LLOYD SHAREHOLDER/OWNER MARATHON FINANCIAL, INC. 12/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 1992-12-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 1992-12-01
MCCAULEY, WILLIAM, PATRICK SHAREHOLDER/OWNER HELIOS, INC. 03/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF EXECUTIVE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2002-03-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2002-03-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2002-03-01 2002-07-17
III OFFSHORE ADVISORS CHIEF EXECUTIVE OFFICER direct 1999-02-01 2017-04-26
FRIESEN, GARTH SHAREHOLDER/OWNER ADLEX CORPORATION 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2003-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2003-12-01
III CAPITAL MANAGEMENT CHIEF EXECUTIVE OFFICER direct 2017-09-01
METRIC ADVISORS LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2014-10-01
PRINTZ, ROBERT, ANDREW SHAREHOLDER/OWNER TAYLOR PEPPER, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2004-12-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2004-12-01
FEENEY, FRANCIS, DOMINIC SHAREHOLDER/OWNER BRYNFORD LLC 01/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2009-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2009-01-01
COYLE, LESTER, NOEL OWNER/SHAREHOLDER WAVERELY, LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2011-01-01
III OFFSHORE ADVISORS OWNER/SHAREHOLDER indirect 2011-01-01
WYLER, SCOTT, LAWRENCE SHAREHOLDER/OWNER MOBILOU, INC. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES CHIEF COMPLIANCE OFFICER; SEC./TREAS. OF GP ENTITIES direct 1999-02-01
III CAPITAL MANAGEMENT PRESIDENT; CHIEF COMPLIANCE OFFICER direct 1999-02-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2013-01-01
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER OF GP ENTITIES direct 1999-02-01 2017-04-26
OLOFSSON, THOMAS, ROLF SHAREHOLDER/OWNER VERDANDI, LLC 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2013-01-01
III OFFSHORE ADVISORS SHAREHOLDER/OWNER indirect 2013-01-01
KUMAR, DEEP SHAREHOLDER/OWNER STOLLERY, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III ASSOCIATES SHAREHOLDER/OWNER indirect 2014-01-01
III CAPITAL MANAGEMENT SHAREHOLDER/OWNER indirect 2014-01-01
GALLE GLOBAL MACRO PARTNERS, LLC DEPUTY CHIEF INVESTMENT OFFICER direct 2010-02-01
PREST, JASON MANAGER WILDER VENTURES INC. 12/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
III CAPITAL MANAGEMENT MANAGER indirect 2017-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
III CRE BRIDGE LOAN FUND L.P. United States 805-2453653782 Real Estate Fund 0 1,000,000
III CONVEX STRATEGIES HUB FUND LTD Cayman Islands 805-9551984358 Hedge Fund 3,075,631,304 1,000,000 Master Fund
III SELECT CREDIT HUB FUND LTD. Cayman Islands 805-3840497130 Hedge Fund 279,685,603 1,000,000 Master Fund
III CREDIT OPPORTUNITIES HUB FUND LTD. Cayman Islands 805-6889322513 Hedge Fund 401,856,806 1,000,000 Master Fund
III RELATIVE VALUE CREDIT STRATEGIES HUB FUND LTD. Cayman Islands 805-8189815585 Hedge Fund 221,248,539 1,000,000 Master Fund
III TERM CREDIT HUB FUND LTD. Cayman Islands 805-5557393840 Hedge Fund 16,027,604,293 1,000,000 Master Fund
III FINANCE LTD. Cayman Islands 805-2346536452 Hedge Fund 8,994,824,849 1,000,000 Master Fund
III CONVEX HEDGE STRATEGIES SPC - III EQUITY INDEX ALTERNATIVE SP Cayman Islands 805-5341086903 Hedge Fund 1,463,293,706 1,000,000 Master Fund
III ABSOLUTE RETURN FUND LTD. Cayman Islands 805-6447702762 Hedge Fund 1,160,598,194 1,000,000
III CONVEX HEDGE STRATEGIES SPC - III EQUITY INDEX ALTERNATIVE (ERISA) SP Cayman Islands 805-9784263138 Hedge Fund 435,388,725 1,000,000 Master Fund
III EP STRATEGIES SPC - III EP TAIL STRATEGIES SP Cayman Islands 805-7905494051 Hedge Fund 2,083,064,469 1,000,000 Master Fund

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