PHILLIPS AND COMPANY ADVISORS LLC
Adviser information for PHILLIPS AND COMPANY ADVISORS LLC last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 14 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 456 | $193.5M |
| Non-Discretionary | 928 | $1.2B |
| Total | 1,384 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 901 | $96.5M |
| HNW Individuals | 60 | $645.7M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 134 | $567.6M |
| Charitable organizations | 10 | $61.2M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 20 | $40.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersFOUNDATION AND ENDOWMENT CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 221.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| INVESTOR ADVANTAGE PROGRAM | PHILLIPS & COMPANY ADVISORS LLC |
Principal Office
521 SW 11TH AVENUESUITE 200
PORTLAND
OR
United States
Monday - Friday, 6:30 AM- 4:00 PST
Tel: 503-224-0858, Fax: 503-224-8207
Chief Compliance Officer
JAMES SMITH
CCO
521 SW 11TH AVENUE
SUITE 200
PORTLAND
OR
United States
Tel:
503-416-4688
Fax:
503-224-8207
J*****@****************M
(Full email address available in API data)
Regulatory Contact
LACEY LAWSON
COO
521 SW 11TH AVENUE
SUITE 200
PORTLAND
OR
United States
Tel:
503-416-4690
Fax:
503-224-8207
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 |
|---|---|---|---|---|---|
| PHILLIPS, TIMOTHY, CHARLES | Individual | – | CEO | 02/1992 | > 75% |
| SMITH, JAMES, TODD | Individual | – | CFO, CCO | 03/1997 | < 5% |