C-III INVESTMENT MANAGEMENT LLC

Adviser information for C-III INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	90
Investment Advisory/Research	30
Registered Broker-Dealer Representatives	3
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	6	$3.0B
Non-Discretionary	4	$510.9M
Total	10	$3.5B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	9	$3.5B
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	<5	$23.1M
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	10

Services

Advisory Services	Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsCOLLATERAL MANAGER AND/OR COLLATERAL ADMINISTRATOR FOR ISSUERS OF COLLATERALIZED DEBT OBLIGATIONS
Compensation	% of AUMPerformance-based feesSEE SCHEDULE D - MISCELLANEOUS
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-72474
SEC ERA File Number	801-72474
SEC CIK Numbers	None
SEC CRD Numbers	156553
Legal Entity Identifier	549300CPMJRHGQTC4N64

Principal Office

717 FIFTH AVENUE
18TH FLOOR
NEW YORK
NY
United States

Monday - Friday, 9:00AM-5:30PM

Tel: 212-705-5000, Fax: 212-705-5001

Websites

www.c3cp.com

Chief Compliance Officer

LAWRENCE S. BLOCK

SENIOR MANAGING DIRECTOR, CO-GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

717 FIFTH AVENUE

18TH FLOOR

NEW YORK

United States

Tel: 212-705-5090

Fax: 212-705-5001

L*****@*******M

(Full email address available in API data)

Regulatory Contact

MADISYNE SCHALITZ

VICE PRESIDENT AND SENIOR COMPLIANCE ASSOCIATE

6031 CONNECTION DRIVE

SUITE 200

IRVING

United States

Tel: 972-868-5315

Fax: 972-868-5494

M********@*******M

(Full email address available in API data)

Industry Affiliates

ANUBIS SECURITIES LLC	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
C-III CAPITAL PARTNERS LLC	Sponsor, GP, manager of pooled investment vehicles
C-III HY DIRECTIVES IV LLC	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
C-III RF DIRECTIVES II LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
C-III RF DIRECTIVES III LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
C-III SA MANAGEMENT LLC	Other investment adviser, including financial planners
ICG CHARGE ME DIRECTIVES LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
ICG REALTY LLC	Real estate broker or dealer
ISLAND CAPITAL GROUP LLC	Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles
ISLAND INVESTMENT MANAGEMENT LLC	Other investment adviser, including financial planners
ISLAND NYCRF DIRECTIVES LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
ISLAND RF DIRECTIVES IV LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
ISLAND TLCC DIRECTIVES LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
MV ESC DIRECTIVES LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
NAI GLOBAL CAPITAL MARKETS (F/K/A C-III REALTY SERVICES)	Real estate broker or dealer
NEW AMERICA NETWORK INC.	Real estate broker or dealer
RFII NY2 CO-INVESTMENT GP LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
ARCAP 2005-1 RESECURITIZATION, INC.	Securitized Asset Fund	$5.8M	$0.1M	13
ARCAP 2006-RR7 RESECURITIZATION, INC.	Securitized Asset Fund	$399.5M	$0.1M	30
C-III HIGH YIELD REAL ESTATE DEBT FUND IV L.P.	Hedge Fund	$50.2M	$1.0M	11
C-III RECOVERY FUND II CO-INVESTMENT II (NY2) L.P.	Real Estate Fund	$6.3M	$5.0M	2
C-III RECOVERY FUND II CO-INVESTMENT L.P.	Real Estate Fund	$144.3M	$0.0M	4
C-III RECOVERY FUND II L.P.	Real Estate Fund	$682.2M	$10.0M	105
C-III RECOVERY FUND III L.P.	Real Estate Fund	$2,058.0M	$0.4M	105
CENTERLINE 2007-1 RESECURITIZATION, INC.	Securitized Asset Fund	$103.6M	$0.1M	2
NOMURA CRE CDO 2007-2, LIMITED	Securitized Asset Fund	$2.0M	$0.3M	12

Control Persons

Name	Type	Entity	Title	Since	Ownership
C-III CAPITAL PARTNERS LLC	Domestic Entity	–	MEMBER, C-III INVESTMENT MANAGEMENT LLC	11/2010	> 75%
ISLAND C-III HOLDINGS LLC	Domestic Entity	C-III CAPITAL PARTNERS LLC	MEMBER	02/2010	25-50%
ISLAND C-III DIRECTIVES LLC	Domestic Entity	ISLAND C-III HOLDINGS LLC	MANAGING MEMBER	11/2009
ISLAND CAPITAL GROUP LLC	Domestic Entity	ISLAND C-III DIRECTIVES LLC	MEMBER	10/2009	> 75%
FARKAS, ANDREW, LAWRENCE	Individual	ISLAND CAPITAL GROUP LLC	MEMBER	07/2003	> 75%
FARKAS, ANDREW, LAWRENCE	Individual	–	CHIEF EXECUTIVE OFFICER	04/2011	< 5%
ISLAND C-III MANAGER LLC	Domestic Entity	C-III CAPITAL PARTNERS LLC	MANAGER	02/2010
ANUBIS ADVISORS LLC	Domestic Entity	ISLAND C-III MANAGER LLC	MEMBER	03/2010	> 75%
ISLAND CAPITAL GROUP LLC	Domestic Entity	ANUBIS ADVISORS LLC	MEMBER	03/2010	> 75%
FARKAS, ANDREW, LAWRENCE	Individual	C-III CAPITAL PARTNERS LLC	MEMBER OF BOARD OF MANAGERS	02/2010
COHEN, JEFFREY, PATRICK	Individual	C-III CAPITAL PARTNERS LLC	MEMBER OF BOARD OF MANAGERS	02/2010
REISMAN, SIDNEY, JOSEPH	Individual	C-III CAPITAL PARTNERS LLC	MEMBER OF BOARD OF MANAGERS	02/2010
COHEN, JEFFREY, PATRICK	Individual	–	PRESIDENT	01/2019	< 5%
CARLETON, GEORGE, EDWARD	Individual	–	EXECUTIVE MANAGING DIRECTOR	12/2010	< 5%
HUGHSON, PAUL, ANDREW	Individual	–	EXECUTIVE MANAGING DIRECTOR	12/2010	< 5%
LIEBER, ROBERT, CROSS	Individual	–	EXECUTIVE MANAGING DIRECTOR	12/2010	< 5%
BLOCK, LAWRENCE, STEVEN	Individual	–	SENIOR MANAGING DIRECTOR, CO-GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	01/2011	< 5%
ISLAND C-III DIRECTIVES II LLC	Domestic Entity	ISLAND C-III HOLDINGS II LLC	MANAGING MEMBER	05/2010
ISLAND CAPITAL GROUP LLC	Domestic Entity	ISLAND C-III DIRECTIVES II LLC	MEMBER	05/2010	> 75%
ISLAND C-III HOLDINGS II LLC	Domestic Entity	C-III CAPITAL PARTNERS LLC	MEMBER	05/2010	25-50%
JESSELSON, MICHAEL, GERSHON	Individual	C-III CAPITAL PARTNERS LLC	MEMBER OF BOARD OF MANAGERS	05/2012
FURMAN, KATHERINE, DREW	Individual	–	SENIOR MANAGING DIRECTOR	09/2012	< 5%
LANDE, MARK, ZVI	Individual	–	SENIOR MANAGING DIRECTOR, CO-GENERAL COUNSEL AND SECRETARY	11/2013	< 5%
SCHNEIDMAN, JON, BAER	Individual	–	SENIOR MANAGING DIRECTOR	02/2022	< 5%
Pisano, Jeffrey, Thomas	Individual	–	SENIOR MANAGING DIRECTOR	06/2023	< 5%
WHITE, DIANA, WILSON	Individual	–	MANAGING DIRECTOR	02/2022	< 5%
TAI, EDWARD, C.	Individual	–	MANAGING DIRECTOR	09/2012	< 5%
WATERS, STEPHEN, BEDINGFIELD	Individual	–	MANAGING DIRECTOR AND CHIEF ACCOUNTING OFFICER	01/2022	< 5%

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