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PHASE III ADVISORY SERVICES, LTD

BUFFALO GROVE, IL · CRD 122959 · IAPD ↗ · 847-520-5545

$210.9MRegulatory AUM
3Advisory reps
3Employees
5Clients
251-500Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
May 2026 — PHASE III ADVISORY SERVICES, LTD notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — PHASE III ADVISORY SERVICES, LTD added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2026 — PHASE III ADVISORY SERVICES, LTD reported RAUM up 30% ($162.2M -> $210.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
58
April 2025 — PHASE III ADVISORY SERVICES, LTD reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
44
May 2024 — PHASE III ADVISORY SERVICES, LTD notice-filed in CA, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.