Phase Iii Advisory Services, Ltd

Phase III Advisory Services, Ltd. is an investment advisory firm established in June 1984, offering tailored consultation services covering financial topics such as investment strategies, retirement planning, tax-efficient investing, estate planning, and estate settlement. The firm provides asset management programs, portfolio monitoring, financial planning, and consultative services. Clients can participate in the Vision2020 Wealth Management Platform, offering advisor-managed portfolios with risk tolerance assessment and portfolio optimization tools. Phase III offers three model portfolio strategies: Private Management, Tactical Allocation, and Fund Allocation services. The firm charges fees based on account size and offers both wrap and non-wrap fee structures. Clients can choose discretionary or non-discretionary account management. For financial planning services, fees are billed at $360/hr or as negotiated. Phase III does not charge performance-based fees and acts as a fiduciary, prioritizing clients' best interests. The firm does not vote client securities and does not require prepayment exceeding $1,200. Additionally, Phase III does not determine class action lawsuit eligibility for clients. Clients are encouraged to review statements received from the custodian and compare them with reports from Phase III.