SourcingSourcing

PHASE III ADVISORY SERVICES, LTD

A65
CRD 122959·SEC 801-63806·BUFFALO GROVE, IL
AUM
$210.9M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$633K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PHASE III ADVISORY SERVICES, LTD
CRD
122959
SEC file #
801-63806
EIN
—
DBA names
—

Economics

AUM
$210.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$100.5M → $210.9M▲ +110%
Client mix
Individuals Other414
Individuals High Net Worth69

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
BUFFALO GROVE IL
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
04/28/2026
ADV-W filed at
—
Website
facebook.com/phase3advisory(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BEVER, JOHN, WILLIAM
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BEVER, JOHN, WILLIAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:phaseiii.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.432
Soi Zip Pct 200k Plus
0.1802
Soi Zip Returns 200k Plus
3,830
Soi Zip Total AGI
2,737,686
Fdic Zip Total Deposits
50,395,972,000
Fdic Zip Branch Count
507
Fdic Zip Top Banks
Citibank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Pershing4
E*trade4
Fdic Zip Branches Raw
LaSalle Bank NorthbrookBuffalo Grove, IL
St Paul Federal Bank for SavingsBuffalo Grove, IL
Fdic Zip HHI
575.43
Fdic Zip Top Bank Share Pct
11.99
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI47,402
Returns4,530
Stub 2
AGI109,774
Returns2,940
Stub 3
AGI157,721
Returns2,540
Soi Zip Total Business Income
75,189
Soi Zip Total Cap Gains
109,468
Soi Zip Total Dividends
63,760
Soi Zip Total Returns
21,250
Top Owner CRD
1199159
Trust Company Affiliate
No

People (3)

3
BEVER, JOHN, WILLIAM
IAR · Direct Owner · 87.5%
1199159
JAMES MASON UREN
IAR
4428814
ABIGAIL FAITH HOON
IAR
7844361