Phase 3 Capital Management LLC
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Overview
Phase 3 Capital Management LLC is a financial advisory firm that has its headquarters in Northbrook, Illinois. The firm has $1.0 billion in assets over five client accounts, placing it among the bigger firms in the nation by assets under management (AUM). Phase 3 Capital Management LLC has a small group, including 4 financial advisors. Phase 3 Capital Management LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments such as bonds, stocks and options.
Phase 3 Capital Management LLC oversees all of the company's accounts on a discretionary basis. Discretionary management is a structure in which buy and sell choices are made by an investment advisor without needing to seek client approval. The advisory firm's typical account size is $202.0 million. The typical financial advisor at Phase 3 Capital Management LLC administers around one client account, making it one of the most personalized advisor firms in the country.
The company's central office is at 650 Dundee Road, Northbrook, Illinois 60062. The firm is allowed to provide services to clients in the state of Illinois.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Phase 3 Capital Management LLC by the Numbers
$1.0 billion
7
5
$202.0 million
Fee Structure
Fees for financial advisory services typically are based on which service is provided. However, fee types charged by the firm most likely consist of some blend of the following fee types: asset-based, performance-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Phase 3 Capital Management LLC.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 26% of firms
Performance-based
-
Offered by 10% of firms
Other
Unavailable
Types of Clients
The firm provides services to pooled investment vehicles. Out of its five accounts, Phase 3 Capital Management LLC's largest client type by number of accounts is pooled investment vehicles. Around 40% of the company's customers are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Phase 3 Capital Management LLC does not have any disclosures.
Please visit its Form ADV for more details.
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