PHASE 3 CAPITAL MANAGEMENT LLC
Adviser information for PHASE 3 CAPITAL MANAGEMENT LLC last updated from Form ADV on March 21st, 2024. 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 | 8 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $1.3B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $1.3B |
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 | 6 | $1.3B |
| 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 | 43 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesOPERATING EXPENSE PASS THROUGH |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-113155 |
|---|---|
| SEC ERA File Number | 801-113155 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 294408 |
| Legal Entity Identifier | 549300FZMQKDNRI5E265 |
Principal Office
650 DUNDEE ROADSUITE 470
NORTHBROOK
IL
United States
Monday - Friday, 08:00 AM - 05:00 PM
Tel: 312-858-3800, Fax: None
Chief Compliance Officer
ERIC WHITE
CHIEF FINANCIAL OFFICER
650 DUNDEE ROAD
SUITE 470
NORTHBROOK
IL
United States
Tel:
(312) 858-3806
E*****@*******M
(Full email address available in API data)
Regulatory Contact
ETHAN YOUDERIAN
CHIEF EXECUTIVE OFFICER
650 DUNDEE ROAD
SUITE 470
NORTHBROOK
IL
United States
Tel:
(312) 858-3801
E*********@*******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PHASE3 GLOBAL RATES FUND LLC | Hedge Fund | $100.6M | $1.0M | 3 |
| PHASE3 MASTER FUND LLC | Hedge Fund | $19.0M | $1.0M | 31 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| YOUDERIAN, ETHAN, SCOTT | Individual | – | FOUNDER, CHIEF INVESTMENT OFFICER, AND CHIEF EXECUTIVE OFFICER | 03/2018 | < 5% |
| HOOVER, SHANE, BRADLEY | Individual | – | PORTFOLIO MANAGER AND FOUNDING PRINCIPAL | 03/2018 | < 5% |
| ALWAN, KARIM, SAID | Individual | – | PORTFOLIO MANAGER, AND FOUNDING PRINCIPAL | 03/2018 | < 5% |
| PHASE 3 HOLDINGS LP | Domestic Entity | – | SOLE SHAREHOLDER | 03/2018 | > 75% |
| YOUDERIAN, ETHAN, SCOTT | Individual | PHASE 3 HOLDINGS LP | LIMITED PARTNER | 03/2018 | 50-75% |
| PHASE 3 GP LLC | Domestic Entity | PHASE 3 HOLDINGS LP | GENERAL PARTNER | 04/2018 | |
| WHITE, ERIC MATTHEW | Individual | – | CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | 06/2019 | < 5% |