Investment adviser · CRD 294408
PHASE 3 CAPITAL MANAGEMENT LLC
Investment adviser filing (IA)
BOCA RATON, FL, United States · Form ADV filed Sep 2, 2026
- Regulatory AUM
- $2.54B Form ADV · Item 5.F
- Client accounts
- 6 Accounts, not individual clients
- Employees
- 9 Reported in this filing
- Advisory professionals
- 4 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 6 | $2,537,991,000 | 100.0% |
Filing source
Form ADV 2130652 · Sep 2, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
3 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
PHASE3 GLOBAL RATES FUND LLCHedge Fund · Last reported Sep 2, 2026$160MGross asset value
Form D fundraising filings
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
SG AMERICAS SECURITIES, LLC
SEC 8-66125
SG AMERICAS SECURITIES, LLC
CRD 128351 · SEC 8-66125
Fund details & source
- Fund ID
- 805-4616193949
- Reported beneficial owners
- 9
- Minimum commitment
- $1M
- Form D file number
- 021-476179
Form ADV 2130652 · Sep 2, 2026 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
PHASE3 SYSTEMATIC OPPORTUNITY FUNDHedge Fund · Last reported Sep 2, 2026$6.62MGross asset value
Form D fundraising filings
Phase3 Systematic Opportunity Fund LLC
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
SG AMERICAS SECURITIES, LLC
SEC 8-66125
SG AMERICAS SECURITIES, LLC
CRD 128351 · SEC 8-66125
Fund details & source
- Fund ID
- 805-6621607039
- Reported beneficial owners
- 10
- Minimum commitment
- $1M
- Form D file number
- 021-564775
Form ADV 2130652 · Sep 2, 2026 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
PHASE3 MASTER FUND LLCHedge Fund · Last reported Apr 29, 2025$20.8MGross asset value
Form D fundraising filings
Feeder funds
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG LLP
PCAOB 185
KPMG LLP
PCAOB 1323
MAREX CAPITAL MARKETS INC.
SEC 8-69039
STONEX FINANCIAL INC.
SEC 8-51269
TD PRIME SERVICES LLC
SEC 8-3337
WEDBUSH SECURITIES INC.
SEC 8-12987
TD PRIME SERVICES LLC
CRD 1914 · SEC 8-3337
Fund details & source
- Fund ID
- 805-3450523817
- Reported beneficial owners
- 19
- Minimum commitment
- $1M
- Form D file number
- 021-350339
- Form D file number
- 021-427040
Form ADV 1982475 · Apr 29, 2025 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Services & filing details
Most recent filing: Sep 2, 2026. View historical filings
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets · Performance-based
Principal office
6501 CONGRESS AVENUE, SUITE 220BOCA RATON, FL, 33487, United States
CRD 294408
Filing source
Form ADV 2130652 · Sep 2, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.