PHASE III ADVISORY SERVICES, LTD
Firm details
- Headquarters
- BUFFALO GROVE, Illinois
- CRD number
- 122959
- Registered since
- February 11, 2005
- Website
- www.phase3advisory.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI58.83%
- Individuals41.17%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Phase III Advisory Services, Ltd. is an independent registered investment adviser formed in 2005 and owned by an individual. The firm serves mainly individual and family clients and positions itself as a capital allocator — advising on portfolios directly while selecting third-party managers when appropriate. Its advisory services include financial planning, portfolio management for individuals and small businesses, and the selection of other advisers. Fee arrangements span percentage-of-AUM, hourly charges, and fixed fees. The firm does not identify as an active ESG investor and is not designated as a multi-state adviser.
Assets & Accounts
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds76%
- Cash & Cash Equivalents12%
- Exchange Traded Equities10%
- US Government Bonds2%
Contacts
3 of 3JAMES UREN
Financial AdvisorCRD 4428814
JOHN BEVER
PresidentCRD 1199159
ABIGAIL HOON
Registered AssistantCRD 7844361
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
BUFFALO GROVE, IL
LAKE
Location
BUFFALO GROVE, IL
Headquartered in BUFFALO GROVE, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- LAKE
- Address
- 1110 W Lake Cook Rd
- Time zone
- CT (UTC-6)
- Office locations
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