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| Happy Holidays!! thanks for using AUM13F!! |
| Phase 3 Capital Management LLC
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| CRD # | 294408 |
| SEC # | 801-113155 |
| CIK # | |
| AUM | $2.8 B (2025-04-29) |
| Employees | 9 (44% Investors, 0% Brokers) |
| Phone | 312-858-3800 |
| Address | 6501 Congress Avenue Boca Raton, FL 33487 |
| Source | [IAPD] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | Phase3 Global Rates Fund LLC | [2023-03-23] | 18.6 | 247.0 |
| HF | Phase3 Master Fund LLC | [2020-03-27] | 45.6 | 20.8 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 7 | 2.8 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 7 | 2.8 |
| By Discretionary | ||
| Discretionary | 7 | 2.8 |
| Non-Discretionary | 0 | 0.0 |
| Total | 7 | 2.8 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.8 | |
| United States Persons | 2.0 | |
| Total | 7 | 2.8 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Ethan Youderian | 5 | ||
| Shane Hoover | 4 | ||
| Eric White | 7 | ||
| Karim Alwan | 3 | ||
| Phase 3 Capital Management LLC | 3 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Anson Funds Management LP
✚
|
TX | 2.9 |
|
Impactive Capital LP
✚
|
NY | 2.8 |
|
Dwight Securities Management LLC
✚
|
FL | 2.8 |
|
Aventail Capital Group LP
✚
|
NY | 2.8 |
|
140 Summer Partners LP
✚
|
NY | 2.8 |
|
Fiera Capital UK Limited
✚
|
2.8 | |
|
Vestal Point Capital LP
✚
|
NY | 2.8 |
|
Serone Capital Management LLP
✚
|
2.8 | |
|
EPFC Capital Partners LLC
✚
|
NY | 2.8 |
|
Strategic Income Management LLC
✚
|
WA | 2.7 |