III Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
III Financial provides comprehensive wealth management and financial planning to individual and high‑net‑worth clients, as well as trusts and estates. The firm offers discretionary portfolio management, financial planning and estate‑planning support, and also advises on retirement plan accounts it holds in advisory or consultative roles.
The advisor typically builds portfolios using low‑cost, diversified mutual funds and ETFs and may incorporate individual stocks and bonds as needed, applying fundamental analysis with a generally long‑term orientation. The firm documents investment objectives and asset allocation through an investment policy statement, monitors accounts on a continuous basis, and may rebalance or trade to address client needs or market developments.
Several operational features distinguish the firm: it manages approximately $42.8 million in discretionary assets and reports additional assets under advisement for ERISA accounts, while billing clients on a fixed quarterly fee basis billed in arrears rather than a percentage‑of‑AUM schedule. The firm’s principal is a CFP® professional with graduate business training and the practice also performs pro bono planning for a nonprofit widow(er) program and assists clients with estate‑planning coordination, which is notable for a solo independent adviser.
Client services
Expertise
Fee options
Account minimum: Generally there is a fee starting at $6,000 per year with increases for complexity and level of service required. The firm generally does not impose a minimum account size for establishing a relationship, and the fee may be waived or lowered at the advisor's discretion. Minimum fee: A fixed fee starting at $6,000 per year, based on complexity and level of service required. Fee-only: Fixed fee based on complexity and level of service; fees are fixed quarterly in arrears and not based on assets under management.
Main office
Cedar Park TX
Advisors at this office
1
Most active in
Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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