PHASE 3 CAPITAL MANAGEMENT LLC

650 Dundee Road
Suite 470
Northbrook, Illinois 60062
Tel: 312-858-3800

About PHASE 3 CAPITAL MANAGEMENT LLC

PHASE 3 CAPITAL MANAGEMENT LLC, formally registered with the SEC as PHASE 3 CAPITAL MANAGEMENT LLC. The firm was established in 05/04/2018. They have over 2 offices throughout the country.

PHASE 3 CAPITAL MANAGEMENT LLC is a Northbrook, Illinois based Financial Planning firm with nearly $1,276,718,000 assets under management, offering retirement planning & investment advisory services to 7 clients. The firm is staffed with 8 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	294408
SEC#	801-113155
Assets Managed by Firm	$1,276,718,000
No. of Clients	7
No. of Advisors	8

Fee Structure

A percentage of AUM
Performance Based
Other (OPERATING EXPENSE PASS THROUGH)

Advisory Services Provided

Portfolio management for pooled investment vehicles

Firm Client Information

	No. of Clients	AUM
Firm Total	7	$1,276,718,000

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