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PHASE 3 CAPITAL MANAGEMENT LLC

BOCA RATON, FL · CRD 294408 · IAPD ↗ · p3cm.com · 312-858-3800

$2.54BRegulatory AUM
4Advisory reps
9Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

32
May 2025 — PHASE 3 CAPITAL MANAGEMENT LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
35
May 2025 — PHASE 3 CAPITAL MANAGEMENT LLC moved its main office from NORTHBROOK, IL to BOCA RATON, FL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
60
April 2025 — PHASE 3 CAPITAL MANAGEMENT LLC reported RAUM up 120% ($1.28B -> $2.80B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
40
December 2024 — PHASE 3 CAPITAL MANAGEMENT LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
April 2024 — PHASE 3 CAPITAL MANAGEMENT LLC reported RAUM up 26% ($1.01B -> $1.28B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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