Phase III Advisory Services, LTD
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Phase III Advisory Services serves individuals (including both high net worth and other individual clients), trusts, estates, charitable organizations, and business entities, providing asset management through its Vision2020 Wealth Management Platform (Advisor Managed Portfolios and a Unified Managed Account program), portfolio monitoring, financial planning, and review of third‑party manager programs. The firm offers both wrap (bundled) and non‑wrap management options and also provides consultative planning and portfolio analysis services.
Investment decisions are guided by asset allocation planning tools, risk‑tolerance questionnaires, and an in‑house investment committee that applies fundamental and technical analysis to construct Private Management, Tactical Allocation, and Fund Allocation models. Phase III actively manages discretionary accounts, may hold positions for short periods (often less than 30 days), and discloses the use of options and other derivatives in separately managed accounts, as well as occasional margin use.
Distinctive operational features include participation as an asset manager in a wrap/UМA program (Vision2020) with execution and clearing through Pershing and Osaic Wealth, a sponsorship role that is relatively uncommon among peers, and the explicit disclosure that certain advisers entered into a non‑forgivable promissory note to purchase a book of business, which the firm notes could create an indirect incentive to retain or grow assets under management. The firm’s small advisory team uses multiple planning and analysis platforms (e.g., Lumen, Morningstar, MoneyGuidePro) and combines model portfolios with direct‑security and derivative strategies, a mix that is less common among similarly sized supported firms.
Client services
Expertise
Occupation focus
Fee options
Financial planning fees may be quoted as fixed fees based on complexity and services
$0 - $249,999: 1.90% $250,000 - $499,999: 1.70% $500,000 - $749,999: 1.45% $750,000 - $1,249,999: 1.20% $1,250,000+: 1.00% $0 - $99,999: 1.40% $100,000 - $249,999: 1.15% $250,000 - $499,999: 1.00% $500,000 - $749,999: 0.90% $750,000 - $1,249,999: 0.80% $1,250,000+: 0.75% $0 - $100,000: 0.60% $100,001 - $250,000: 0.40% $250,001 - $500,000: 0.25% $500,000 - $1,000,000: 0.15% $1,000,001+: 0.10%
Advisory Representatives earn commissions from securities and insurance products sold through Osaic Wealth; commissions vary by product
Financial planning and consultative services billed at $360/hr
Account minimum: $25,000 Fee-only: Financial planning and consultative services billed at $360/hr or negotiated fixed fees; fees payable upon completion
Main office
1110 W. Lake Cook Road, Suite 265
Buffalo Grove IL 60089
Advisors at this office
3
Most active in
California · Florida · Georgia · Illinois · Indiana · Michigan · North Carolina · Texas · Wisconsin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Abigail H
Series 66
Buffalo Grove, IL
Phase III Advisory Services, LTD
Abigail Hoon is a financial advisor at Phase III Advisory Services, LTD with one year of industry experience. She holds a Series 66 designation and has work history including roles at Osaic Wealth, Inc. and Matrix Design LLC. Outside of advisory work, she is also active as an insurance agent. Phase III Advisory Services serves individuals, trusts, estates, charitable organizations, and business entities by providing asset management through its Vision2020 Wealth Management Platform, financial planning, and portfolio analysis services. The firm employs an active management approach guided by asset allocation tools and an in-house investment committee, combining model portfolios with direct-security and derivative strategies.
James U
CFP®, Series 66
Buffalo Grove, IL
Phase III Advisory Services, LTD
James Uren is a CFP® with 24 years of industry experience, currently serving as an advisor at Phase III Advisory Services, LTD since 2001. He is also affiliated with Osaic Wealth, Inc. Outside of his advisory role, he has created online content related to his personal weight loss journey, generating revenue through affiliate marketing and product sales. Phase III Advisory Services, Ltd. provides investment management, portfolio monitoring, and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm manages approximately $162 million in assets for about 366 clients, employing a combination of fundamental and technical analysis, risk-tolerance profiling, and periodic rebalancing across discretionary and non-discretionary portfolios.
John B
CFP®, Series 63
Buffalo Grove, IL
Phase III Advisory Services, LTD
John Bever is a financial advisor with Phase III Advisory Services, LTD, holding a CFP® designation and a Series 63 license, with 42 years of industry experience. He has been with Phase III Advisory Services since 1984 and also associated with Osaic Wealth, Inc. since 1989. Bever provides life insurance illustrations and solutions and serves as a notary public offering services to clients. Phase III Advisory Services, Ltd. offers discretionary and non-discretionary investment management, portfolio monitoring, and financial planning to individuals, trusts, estates, charitable organizations, and business entities. The firm manages approximately $162 million in assets for around 366 clients using tailored portfolios that combine fundamental and technical analysis, with options including advisor-managed portfolios and a Unified Managed Account.
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