PHILLIPS CAPITAL ADVISORS, INC.
Adviser information for PHILLIPS CAPITAL ADVISORS, INC. last updated from Form ADV on March 26th, 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 | Oklahoma, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 17 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 489 | $145.3M |
| Non-Discretionary | 157 | $443.3M |
| Total | 646 | $588.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 428 | $68.8M |
| HNW Individuals | 163 | $84.5M |
| 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 | 10 | $14.7M |
| 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 | 5 | $381.1M |
| Other | 23 | $39.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
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) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 170.3M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-66961 |
|---|---|
| SEC ERA File Number | 801-66961 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115758 |
| Legal Entity Identifier | None |
Principal Office
3401 NW 63RD ST. STE 500OKLAHOMA CITY
OK
United States
Monday - Friday, 8:00 AM-4:30 PM
Tel: 405-943-9433, Fax: 405-943-3902
Websites
Chief Compliance Officer
THOMPSON S. PHILLIPS
PRESIDENT, CHIEF COMPLIANCE OFFICER
3401 NW 63RD ST. STE 500
OKLAHOMA CITY
OK
United States
Tel:
405-943-9433
Fax:
405-943-3902
T**@************M
(Full email address available in API data)
Regulatory Contact
KAREN COKER
OPERATIONS MANAGER
3401 NW 63RD STREET STE 500
OKLAHOMA CITY
OK
United States
Tel:
405-943-9433
Fax:
405-943-3902
K*****@************M
(Full email address available in API data)
Industry Affiliates
| CHRISTENSEN LAW GROUP | Lawyer or law firm |
| PHILLIPS SECURITIES INSURANCE AGENCY, INC. | Insurance company or agency |
| PHILLIPS SECURITIES INSURANCE AGENCY, INC. | Insurance company or agency |
| T.S. PHILLIPS INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PHILLIPS, THOMPSON, SYLVESTER | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 02/1990 | < 5% |
| COKER, KAREN, LE'ELLEN | Individual | – | SECRETARY | 01/2019 | < 5% |
| FINANCIAL SERVICES HOLDINGS, LLC | Domestic Entity | – | SOLE SHAREHOLDER | 04/2023 | > 75% |
| PARKER, RICHARD, WILSON | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 04/2023 | 25-50% |
| TITAK, JAMES, JOHN | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 04/2023 | |
| Reynolds, Matthew, Mark | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 04/2023 | |
| JAMES TITAK IRREVOCABLE TRUST | Domestic Entity | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 04/2023 | 50-75% |