PHILLIP JAMES FINANCIAL CO.
PHILLIP JAMES CONSULTING CO. Legal Name
Adviser information for PHILLIP JAMES FINANCIAL CO. last updated from Form ADV on March 15th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 718 | $164.7M |
| Non-Discretionary | 9 | $1.9M |
| Total | 727 | $166.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 62 | $21.9M |
| HNW Individuals | 53 | $144.7M |
| 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 | 1 |
| 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 businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-120327 |
|---|---|
| SEC ERA File Number | 801-120327 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168228 |
| Legal Entity Identifier | None |
Principal Office
3675 PLYMOUTH BOULEVARDSUITE 110
PLYMOUTH
MN
United States
Monday - Friday, 8AM TO 5PM
Tel: 763-432-0852, Fax: 763-390-0023
Websites
www.facebook.com/phillipjamesfinancial/
www.linkedin.com/company/pjf-tax
www.facebook.com/pjftax
twitter.com/pjftax
www.yelp.com/biz/pjf-tax-plymouth
phillipjamesfinancial.com
pjftax.com
wealthmanagementplymouthmn.com/
www.instagram.com/mnretirementplanners/
www.youtube.com/channel/uciio1erbj38lfzbofmwbijq
twitter.com/investpjf
www.linkedin.com/company/phillip-james-financial
www.pinterest.com/feeonlyplanner/
tax-preparation-plymouth.com/
Chief Compliance Officer
PHILLIP CHRISTENSON
CEO
20785 COUNTY ROAD 30
CORCORAN
MN
United States
Tel:
7634320852
Fax:
7633900023
P***@************************M
(Full email address available in API data)
Regulatory Contact
JAMES SEXTON
CFO
14705 11TH AVE NORTH
PLYMOUTH
MN
United States
Tel:
7634320852
Fax:
7633900023
J**@************************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 |
|---|---|---|---|---|---|
| SEXTON, JAMES, LIONEL | Individual | – | CHIEF FINANCIAL OFFICER | 06/2013 | 50-75% |
| CHRISTENSON, PHILLIP, RICHARD | Individual | – | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 06/2013 | 50-75% |