BUFFALO GROVE, ILCRD 122959Latest ADV April 28, 2026
Phase Iii Advisory Services, Ltd is an SEC registered investment adviser organized as a corporation with a primary office location in Buffalo Grove, IL. Its latest Form ADV filing, dated April 28, 2026, reports $211M in regulatory assets under management, 3 employees, 1 office, and 1,400 accounts.
Assets Under Management
$211M
Employees
3
Offices
1 office
Total Clients
483
Primary office
BUFFALO GROVE, IL
1110 W. LAKE COOK RD, SUITE 265, BUFFALO GROVE, IL, United States
Portfolio management for individuals and small businesses
Selection of other advisers
Fee models offered
3 types reported
Asset based fees
Fixed fees
Hourly charges
Sources checked May 15, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 85.7% of total clients.
Top client categories% of clientsClients
1
Individuals
85.7%
414
2
HNWI
14.3%
69
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$211Mas of April 28, 2026
Discretionary74.8%
$158M
75% of total RAUM74.8%
Non-discretionary25.2%
$53M
25% of total RAUM25.2%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$211M
Total Accounts1,400
10Y AUM Change+$118M (+125.8%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees3
Clients per Employee161:1
10Y Employee Change0 (0.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.