SPM III, L.L.C.
CRD #130549 SEC #801-62806 STAMFORD, CT 203-351-2870
SEC Registered
Total AUM
$268.3M
Discretionary
$268.3M
Employees
--
Clients
--
Accounts
6
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | NA | Control |
| CONTINO, JOHN, VINCENT | I | MANAGING DIRECTOR | NA | Control |
| CONTINO, JOHN, VINCENT | I | MANAGING DIRECTOR | NA | Control |
| CONTINO, JOHN, VINCENT | I | MANAGING DIRECTOR | NA | Control |
| CONTINO, JOHN, VINCENT | I | MANAGING DIRECTOR | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| KONG, JEFFREY | I | MANAGING DIRECTOR | NA | Control |
| KONG, JEFFREY | I | SENIOR MANAGING DIRECTOR | NA | Control |
| KONG, JEFFREY | I | SENIOR MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/MANAGING DIRECTOR | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/MANAGING DIRECTOR | NA | Control |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| VASSALLI, NICHOLAS, PIERRE | I | MANAGING DIRECTOR | NA | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER (CLASS B INTEREST) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT LLC | DE | OWNER/MEMBER/MANAGER | E | Control |
| CONTINO, JOHN, VINCENT | I | MANAGING DIRECTOR | B | Control |
| MOK, WILLIAM, LEONG | I | SENIOR MANAGING DIRECTOR | A | Control |
| MOK, WILLIAM, LEONG | I | SENIOR MANAGING DIRECTOR | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | SENIOR MANAGING DIRECTOR | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | SENIOR MANAGING DIRECTOR | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BOWMAN PARTNERS GP CO. | FE | BOWMAN PARTNERS LP | F | Control |
| BOWMAN PARTNERS GP CO. | FE | BOWMAN PARTNERS LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS LLC | DE | LOVELL MINNICK EQUITY PARTNERS LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS LLC | DE | LOVELL MINNICK EQUITY PARTNERS LP | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS LLC | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC | E | Control |
| FRANK RUSSELL COMPANY | DE | FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | E | Control |
| FRANK RUSSELL COMPANY | DE | FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | E | Control |
| FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | FE | BOWMAN PARTNERS GP CO. | E | Control |
| FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | FE | BOWMAN PARTNERS GP CO. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | D | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | D | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | D | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | D | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | D | Control |
| ATLANTIC ASSET MANAGEMENT LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| ATLANTIC ASSET MANAGEMENT LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| ATLANTIC ASSET MANAGEMENT LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| ATLANTIC ASSET MANAGEMENT LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| ATLANTIC ASSET MANAGEMENT LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| BOWMAN PARTNERS LP | FE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| BOWMAN PARTNERS LP | FE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| LOVELL MINNICK EQUITY PARTNERS LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| NEWCOM, JENNINGS, JAY | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| NEWCOM, JENNINGS, JAY | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| PATHEON GLOBAL SECONDARY FUND II LIMITED | FE | BOWMAN PARTNERS LP | C | Control |
| PATHEON GLOBAL SECONDARY FUND II LIMITED | FE | BOWMAN PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF LIFE INSURANCE COMPANY | DE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| PF LIFE INSURANCE COMPANY | DE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SERVICES DEPOT CDPQ US INC. | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| SERVICES DEPOT CDPQ US INC. | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| SERVICES DEPOT CDPQ US INC. | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | STRUCTURED PORTFOLIO MANAGEMENT, L.L.C. | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | STRUCTURED PORTFOLIO MANAGEMENT, L.L.C. | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | STRUCTURED PORTFOLIO MANAGEMENT, L.L.C. | C | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
| UPPER SHAD ASSOCIATES LLC | DE | STRUCTURED PORTFOLIO MANAGEMENT LLC | C | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (1)
CT
Address
CLEARWATER HOUSE2187 ATLANTIC STREET, 4TH FLOOR
STAMFORD, CT 6902
United States
Phone: 203-351-2870