3I CORPORATION
Adviser information for 3I CORPORATION last updated from Form ADV on July 11th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 5 | $345.5M |
| Non-Discretionary | 10 | $1.5B |
| Total | 15 | $1.9B |
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 | 15 | $1.9B |
| 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 | 0 | $0 |
| 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 | 67 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73360 |
|---|---|
| SEC ERA File Number | 801-73360 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 159892 |
| Legal Entity Identifier | None |
Principal Office
300 PARK AVENUE23RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 9 - 5
Tel: 1 212 848 1400, Fax: 1 212 848 1401
Chief Compliance Officer
JOHN DECESARE
DIRECTOR GROUP COMPLIANCE
16 PALACE STREET
LONDON
United Kingdom
Tel:
+44 207 975 3094
Fax:
+44 207 975 3463
J************@*****M
(Full email address available in API data)
Regulatory Contact
MANOJ JAIN
DIRECTOR, GROUP FINANCE OPERATIONS
16 PALACE STREET
LONDON
United Kingdom
Tel:
+44 20 7975 3502
M*********@*****M
(Full email address available in API data)
Industry Affiliates
| 3I BENELUX B.V. | Other investment adviser, including financial planners |
| 3I DEUTSCHLAND | Other investment adviser, including financial planners |
| 3I FRANCE SAS | Other investment adviser, including financial planners |
| 3I INDIA | Other investment adviser, including financial planners |
| 3I INVESTMENTS (LUXEMBOURG) S.A. | Other investment adviser, including financial planners |
| 3I INVESTMENTS PLC | Other investment adviser, including financial planners |
| 3I NORTH AMERICAN INFRASTRUCTURE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 3I NORTH AMERICAN INFRASTRUCTURE PARTNERS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 3I ECW COINVEST LP | Private Equity Fund | $16.8M | $0.0M | 1 |
| 3I JAVELIN H1A LP | Private Equity Fund | $2.8M | $0.0M | 39 |
| 3I JAVELIN H1B LP | Private Equity Fund | $1.9M | $0.0M | 39 |
| 3I NORTH AMERICAN INFRASTRUCTURE FUND B LP | Private Equity Fund | $192.9M | $10.0M | 6 |
| 3I NORTH AMERICAN INFRASTRUCTURE FUND C LP | Private Equity Fund | $10.6M | $10.0M | 1 |
| 3I PE 2013-16A LP | Private Equity Fund | $134.6M | $0.0M | 39 |
| 3I PE 2013-16B LP | Private Equity Fund | $5.6M | $0.0M | 9 |
| 3I PE 2013-16C LP | Private Equity Fund | $184.1M | $0.0M | 1 |
| 3I PE 2016-19 A LP | Private Equity Fund | $484.0M | $0.0M | 49 |
| 3I PE 2019-22 B LP | Private Equity Fund | $229.0M | $0.0M | 43 |
| 3I PE 2019-22A LP | Private Equity Fund | $458.1M | $0.0M | 50 |
| 3I RR COINVEST LP | Private Equity Fund | $119.9M | $0.0M | 4 |
| NORTH AMERICAN INFRASTRUCTURE CARRY AND COINVEST LP | Private Equity Fund | $5.3M | $0.0M | 1 |
| PE 2016-19 CO-INVEST LP | Private Equity Fund | $4.9M | $0.0M | 48 |
| PE 2019-22 CO-INVEST LP | Private Equity Fund | $5.8M | $0.0M | 49 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| 3I HOLDINGS PLC | Foreign Entity | – | SHAREHOLDER | 02/2018 | > 75% |
| RELYEA, RICHARD, VAURIE | Individual | – | TREASURER | 09/2015 | < 5% |
| 3I GROUP PLC | Foreign Entity | 3I HOLDINGS PLC | SHAREHOLDER, COMMON STOCK | 03/1991 | > 75% |
| DECESARE, JOHN, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2012 | < 5% |
| RELYEA, RICHARD, VAURIE | Individual | – | DIRECTOR | 11/2010 | < 5% |
| COLLINS, ROBERT, K | Individual | – | DIRECTOR | 04/2017 | < 5% |
| Krause, Benjamin, Daniel | Individual | – | DIRECTOR | 02/2017 | < 5% |
| Halai, Jasi, Hari | Individual | – | DIRECTOR | 04/2019 | < 5% |