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Phase III Advisory Services, LTD

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Client assets under management

$210,911,349

Clients

483

14% high-net worth

Advisors

3

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

More info

Clients per advisor

161

Very High

Average account size

$436,669

About

Phase III Advisory Services serves individuals (including both high net worth and other individual clients), trusts, estates, charitable organizations, and business entities, providing asset management through its Vision2020 Wealth Management Platform (Advisor Managed Portfolios and a Unified Managed Account program), portfolio monitoring, financial planning, and review of third‑party manager programs. The firm offers both wrap (bundled) and non‑wrap management options and also provides consultative planning and portfolio analysis services.

Investment decisions are guided by asset allocation planning tools, risk‑tolerance questionnaires, and an in‑house investment committee that applies fundamental and technical analysis to construct Private Management, Tactical Allocation, and Fund Allocation models. Phase III actively manages discretionary accounts, may hold positions for short periods (often less than 30 days), and discloses the use of options and other derivatives in separately managed accounts, as well as occasional margin use.

Distinctive operational features include participation as an asset manager in a wrap/UМA program (Vision2020) with execution and clearing through Pershing and Osaic Wealth, a sponsorship role that is relatively uncommon among peers, and the explicit disclosure that certain advisers entered into a non‑forgivable promissory note to purchase a book of business, which the firm notes could create an indirect incentive to retain or grow assets under management. The firm’s small advisory team uses multiple planning and analysis platforms (e.g., Lumen, Morningstar, MoneyGuidePro) and combines model portfolios with direct‑security and derivative strategies, a mix that is less common among similarly sized supported firms.

Client services

Financial planning Portfolio management Selection of other advisers

Expertise

Active portfolio management Options & derivatives strategies College savings (529s, UTMA, etc.)

Occupation focus

Executive Founder/Business Owner

Fee options

Fixed

Financial planning fees may be quoted as fixed fees based on complexity and services

Percentage

$0 - $249,999: 1.90% $250,000 - $499,999: 1.70% $500,000 - $749,999: 1.45% $750,000 - $1,249,999: 1.20% $1,250,000+: 1.00% $0 - $99,999: 1.40% $100,000 - $249,999: 1.15% $250,000 - $499,999: 1.00% $500,000 - $749,999: 0.90% $750,000 - $1,249,999: 0.80% $1,250,000+: 0.75% $0 - $100,000: 0.60% $100,001 - $250,000: 0.40% $250,001 - $500,000: 0.25% $500,000 - $1,000,000: 0.15% $1,000,001+: 0.10%

Commissions

Advisory Representatives earn commissions from securities and insurance products sold through Osaic Wealth; commissions vary by product

Project-based

Financial planning and consultative services billed at $360/hr

Other

Account minimum: $25,000 Fee-only: Financial planning and consultative services billed at $360/hr or negotiated fixed fees; fees payable upon completion

Main office location

Phase III Advisory Services, LTD

1110 W. Lake Cook Rd, Suite 265

Buffalo Grove IL 60089, United States

Number of offices

2

Most active in

More info

California · Florida · Illinois · Indiana · Michigan · North Carolina · Texas · Wisconsin

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Facebook Website 847-520-5545

Advisors at this firm

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user avatar

Abigail H

Series 66

Buffalo Grove, IL

Phase III Advisory Services, LTD

Abigail Hoon is a financial advisor at Phase III Advisory Services, LTD with one year of industry experience. She holds a Series 66 designation and has worked at Osaic Wealth, Inc. and Phase 3 Advisory Services Ltd., among other roles. Outside of her advisory work, she is licensed as an insurance agent. Phase III Advisory Services, Ltd. provides discretionary and non-discretionary investment management, portfolio monitoring, and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm serves approximately 366 clients with three advisors and manages about $162 million in assets, offering tailored portfolios that combine fundamental and technical analysis and include a range of investment vehicles.

Active portfolio management Options & derivatives strategies College savings (529s, UTMA, etc.) Executive Founder/Business Owner
user avatar

James U

CFP®, Series 66

Buffalo Grove, IL

Phase III Advisory Services, LTD

James Uren is a CFP® with 24 years of industry experience, currently serving as an advisor at Phase III Advisory Services, LTD since 2001. He is also affiliated with Osaic Wealth, Inc. Outside of his advisory role, he has created online content related to his personal weight loss journey, generating revenue through affiliate marketing and product sales. Phase III Advisory Services, Ltd. provides investment management, portfolio monitoring, and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm manages approximately $162 million in assets for about 366 clients, employing a combination of fundamental and technical analysis, risk-tolerance profiling, and periodic rebalancing across discretionary and non-discretionary portfolios.

Active portfolio management Options & derivatives strategies College savings (529s, UTMA, etc.) Executive Founder/Business Owner
user avatar

John B

CFP®, Series 63

Buffalo Grove, IL

Phase III Advisory Services, LTD

John Bever is a financial advisor with Phase III Advisory Services, LTD, holding a CFP® designation and a Series 63 license, with 42 years of industry experience. He has been with Phase III Advisory Services since 1984 and also associated with Osaic Wealth, Inc. since 1989. Bever provides life insurance illustrations and solutions and serves as a notary public offering services to clients. Phase III Advisory Services, Ltd. offers discretionary and non-discretionary investment management, portfolio monitoring, and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm manages approximately $162 million in assets for around 366 clients using tailored portfolios that combine fundamental and technical analysis, with options including advisor-managed portfolios and a Unified Managed Account.

Active portfolio management Options & derivatives strategies College savings (529s, UTMA, etc.) Executive Founder/Business Owner
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