Phase III Advisory Services, Ltd. is an investment advisory firm offering personalized investment management, portfolio monitoring, and financial planning services. Phase III constructs custom portfolios using mutual funds, exchange-traded funds, individual stocks, bonds, options, and variable products based on each client's individual goals, risk tolerance, and time horizon. Portfolios can be managed through various strategies including private management, tactical allocation, and fund allocation services. In addition to managing investments, Phase III provides financial planning covering retirement, taxes, education funding, estate planning, and debt counseling, as well as standalone portfolio monitoring. Phase III serves individuals, high-net-worth clients, trusts, estates, and corporate entities, tailoring its recommendations to each client's specific situation.
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.90% |
| $250K - $500K | 1.70% |
| $500K - $750K | 1.45% |
| $750K - $1.3M | 1.20% |
| $1.3M+ | 1.00% |
Rates reflect the Private Management Account and UMA Portfolios schedule. Alternate fund and tactical allocation schedules have lower maximum fees starting at 1.40% for under $100K and dropping to 0.75% for $1.25M and above. Fees are negotiable.