JOHNSON FINANCIAL ADVISORS
PHILIP O. JOHNSON & COMPANY, LTD. Legal Name
Adviser information for JOHNSON FINANCIAL ADVISORS last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 669 | $186.1M |
| Non-Discretionary | 13 | $5.0M |
| Total | 682 | $191.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 218 | $62.6M |
| HNW Individuals | 53 | $128.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 187.5M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WMP WEALTH MANAGEMENT PLATFORM | SECURITIES AMERICA ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-113449 |
|---|---|
| SEC ERA File Number | 801-113449 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104621 |
| Legal Entity Identifier | None |
Principal Office
1095 W RIO SALADO PARKWAYSUITE 201
TEMPE
AZ
United States
Monday - Friday, 8:30 A.M.- 5:00 P.M.
Tel: 602-242-4000, Fax: 602-242-4000
Chief Compliance Officer
PHILIP O. JOHNSON
PRESIDENT
1095 W RIO SALADO PARKWAY
SUITE 201
TEMPE
AZ
United States
Tel:
602-242-4000
Fax:
602-242-4000
P***@**************M
(Full email address available in API data)
Regulatory Contact
LYNN JOHNSON
VP
1095 W RIO SALADO PARKWAY
SUITE 201
TEMPE
AZ
United States
Tel:
602-242-4000
Fax:
602-242-4000
L***********@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHNSON, PHILIP, OTHO | Individual | – | PRESIDENT/TREASURER | 10/1981 | > 75% |
| JOHNSON, LYNN, TAYLOR | Individual | – | VICE-PRESIDENT/SECRETARY | 10/1981 | < 5% |
| JOHNSON, PHILIP, OTHO | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2004 | > 75% |