PHASE III ADVISORY SERVICES, LTD
Adviser information for PHASE III ADVISORY SERVICES, LTD last updated from Form ADV on March 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 901 | $126.6M |
| Non-Discretionary | 449 | $21.2M |
| Total | 1,350 | $147.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 302 | $66.5M |
| HNW Individuals | 49 | $81.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 54.8M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| THE WEALTH MANAGEMENT PLATFORM - ADVISOR MANAGED PORTFOLIOS | VISION2020 WEALTH MANAGEMENT CORP. |
| THE WEALTH MANAGEMENT PLATFORM - UNIFIED MANAGED ACCOUNT PROGRAM | VISION2020 WEALTH MANAGEMENT CORP. |
Identifiers
| SEC RIA File Number | 801-63806 |
|---|---|
| SEC ERA File Number | 801-63806 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122959 |
| Legal Entity Identifier | None |
Principal Office
1110 W. LAKE COOK RDSUITE 265
BUFFALO GROVE
IL
United States
Monday - Friday, 8:30 AM TO 4:30 PM
Tel: 847-520-5545, Fax: 847-589-3308
Chief Compliance Officer
JOHN W. BEVER
PRESIDENT
1110 W. LAKE COOK ROAD
SUITE 265
BUFFALO GROVE
IL
United States
Tel:
847-520-5545
Fax:
847-589-3308
J******@*****************M
(Full email address available in API data)
Regulatory Contact
CRYSTAL WINTERS
COMPLIANCE ASSISTANT
1110 W. LAKE COOK ROAD
SUITE 265
BUFFALO GROVE
IL
United States
Tel:
847-520-5545
Fax:
847-589-3308
C*******@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BEVER, JOHN, WILLIAM | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 06/1984 | > 75% |