Phillips Financial

RIASEC Registered

Total AUM

$2.6B

Discretionary

$2.3B

87% of AUM

Avg account

$808K

Accounts

3,264

Employees

Advisory reps

Firm details

Headquarters: Fort Wayne, Indiana
CRD number: 131344
Registered since: July 23, 2004
Website: myphillips.com
Custodians: NATIONAL FINANCIAL SERVICES LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: HNWI57.1%
Pension & Profit Sharing Plans20.96%
Charitable Organizations11.57%
Individuals7.4%
Other Investment Advisers2.78%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Phillips Financial is an independent Registered Investment Adviser that provides wealth management and advisory services to individuals, families and institutional clients. The firm is SEC-registered (initial registration 2004) and acts as a capital allocator, blending discretionary portfolio management with financial planning, selection of other advisers, and educational outreach through publications and seminars. Fee arrangements are mixed—percentage-of-AUM, hourly and fixed fees, and commissions are all part of the pricing menu—allowing flexibility across client types and engagement models. The firm’s advisory menu includes portfolio management for individual and small business clients as well as for businesses and institutions, pension consulting services, and selection of third-party managers. Industry affiliations noted in filings include relationships with insurance companies and pension consultants. Phillips Financial does not position itself as an active ESG investor.