SEC-Registered Investment Adviser
Phase 3 Capital Management LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated September 2, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- May 4, 2018
- Principal office
- 6501 Congress Avenue, Suite 220, Boca Raton, FL 33487
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 1
- Website
- p3cm.com
Scale
- Regulatory AUM
- $2.5B
- Attributable to non-US clients
- $936.9M
- Accounts
- 6
- Clients
- 0
- Employees
- 9, 4 in advisory roles
- Private funds advised
- 2
- Private fund gross assets
- $166.6M
- Fund types
- 2 hedge funds
- Funds with Form D records
- 2 issuers in AltStreet's ledger, $20.5M reported sold across them
- Client assets in custody
- $166.6M (2 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles
- Compensated by
- a percentage of assets under management, performance-based fees and other
- Client types
- pooled investment vehicles (6)
- Also engaged as
- commodity pool operator or commodity trading advisor
Form ADV Item 11 disclosures
No yes answers on Item 11 as of the latest Form ADV (September 2, 2026). Item 11 covers the firm and its advisory affiliates.
Form D activity of the funds this firm advises, by year
2 issuers in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from March 17, 2023 to March 18, 2026. 1 offering is still raising on the latest filing. Reported sold across them: $20.5M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.
| First notice | Offerings | Reported sold | Investors |
|---|---|---|---|
| 2025 | 1 | n/a | n/a |
| 2023 | 1 | $20.5M | 9 |
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.