DOLPHIN ASSOCIATES III, LLC
Adviser information for DOLPHIN ASSOCIATES III, LLC last updated from Form ADV on July 6th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-127209 |
|---|---|
| SEC ERA File Number | 802-127209 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163972 |
| Legal Entity Identifier | None |
Principal Office
C/O ANNEX AT 623 ROUND HILL RD.GREENWICH
CT
United States
WHEN MARKETS OPEN IN JURISDICTIONS SECURITES HELD, 9:00 AM - 5:00 PM
Tel: 203-489-3833, Fax: NONE
Chief Compliance Officer
NoneIndustry Affiliates
| DOLPHIN ASSOCIATES, L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| DOLPHIN MANAGEMENT COMPANY III, L.L.C. | Other investment adviser, including financial planners |
| DOLPHIN MANAGEMENT COMPANY, L.L.C. | Other investment adviser, including financial planners |
| SCANN2, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DOLPHIN LIMITED PARTNERSHIP I, L.P. | IN RUNOFF | $0.3M | $5.0M | 15 |
| DOLPHIN LIMITED PARTNERSHIP III, L.P. | ACTIVE INVESTMENTS | $5.1M | $5.0M | 7 |
| SCANN2 PARTNERS, LP | PRIVATE INVESTMENT PARTNERSHIP | $0.7M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NETTER, DONALD, TYLER | Individual | KAL ASSOCIATES, INC. | MEMBER DOLPHIN HOLDING CORP | 03/1996 | > 75% |
| KAL ASSOCIATES, INC. | Domestic Entity | – | INDIRECT MEMBER OF DOLPHIN ASSOCIATES, LLC | 08/1998 | 10-25% |
| DOLPHIN HOLDINGS CORP. | Domestic Entity | – | MANAGING MEMBER OF DOLPHIN ASSOCIATES, LLC | 03/1996 | < 5% |
| NETTER, DONALD, TYLER | Individual | – | SENIOR PARTNER OF DOLPHIN ASSOCIATES, LLC | 01/1997 | 10-25% |
| DEBLANCO, THEODORE, ANTHONY | Individual | – | SENIOR PARTNER OF DOLPHIN ASSOCIATES, LLC | 01/1997 | 25-50% |
| NETTER, DONALD, TYLER | Individual | – | SENIOR PARTNER OF DOLPHIN ASSOCIATES III, LLC | 05/2006 | > 75% |
| DOLPHIN HOLDINGS CORP. III | Domestic Entity | – | MANAGING MEMBER OF DOLPHIN ASSOCIATES III, LLC | 05/2006 | < 5% |
| KAL ASSOCIATES, INC. | Domestic Entity | – | MEMBER OF DOLPHIN MANAGEMENT COMPANY, LLC | 03/1996 | > 75% |
| NETTER, DONALD, TYLER | Individual | – | SENIOR OFFICER OF SCANN2, LLC, GENERAL PARTNER OF SCANN2 PARTNERS, L.P. | 01/2011 | > 75% |
| NETTER, DONALD, TYLER | Individual | DOLPHIN HOLDINGS CORP. III | SHAREHOLDER/MANAGER | 05/2006 | > 75% |