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Adam Phillips

Managing Director Investments at EP Wealth Advisors

Investment adviser registrationTorrance, CASEC record checked 17 October 2026

13
Years in the industry
12
Years at the firm
2
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Adam Phillips is Managing Director Investments of EP Wealth Advisors, LLC., a Torrance investment adviser managing $45.1B. Adam Phillips has been registered through EP Wealth Advisors since 25 April 2014, has 13 years in the industry across 2 firms and has passed the Series 7 and Series 63.

Role at EP Wealth Advisors

Title on Schedule A
Managing Director Investments
Control
Adam Phillips is a control person of EP Wealth Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Adam Phillips has held the filed role since April 2014.

The firm

EP Wealth Advisors, LLC.
Torrance, CA

Form ADV filed 17 September 2026

$45.1B AUM20,738 clients320 advisers54 offices

Career on record

Adam Phillips has been registered through EP Wealth Advisors since April 2014, and before that through City National Rochdale.

Firms and exams, newest first
  1. Ep Wealth AdvisorsCurrent
    – present · 12 years
    Torrance, CA · Adviser representative · Firm CRD 111147
  2. Passed Series 7 and Series 63 · 2013
  3. City National Rochdale
    – · 1 year
    New York, NY · Adviser representative · Firm CRD 117198

Registrations and exams

Adam Phillips has a current investment-adviser registration in California and Texas and has passed 2 qualifying exams.

California25 April 2014
Scope
Investment adviser representative
Status
Approved
Texas27 August 2015
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6329 March 2013
Name
Uniform Securities Agent State Law Examination
Series 711 January 2013
Name
General Securities Representative Examination

Individual record

Full name
Adam Neal Phillips
CRD
6124345
Firm
EP Wealth Advisors, LLC.
Registration status
Investment adviser registration
Office
21535 HAWTHORNE BLVD, SUITE 400, Torrance, CA 90503

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

The firm's official leadership page lists Adam Phillips as Managing Director, Investments. EP WEALTH ADVISORS, LLC., official leadership page

Common questions

Where does Adam Phillips work?

Adam Phillips has been Managing Director Investments of EP Wealth Advisors, LLC. since April 2014, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 17 September 2026

Is Adam Phillips a financial advisor?

Yes. Adam Phillips has a current investment-adviser registration in California and Texas, through EP Wealth Advisors since April 2014, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Adam Phillips have?

Adam Phillips has worked in the financial industry for 13 years as of 17 October 2026, counted from 7 March 2013, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Adam Phillips passed?

Adam Phillips has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in January 2013.

Source: IAPD individual record, checked 17 October 2026

Where did Adam Phillips work before EP Wealth Advisors?

Before EP Wealth Advisors, Adam Phillips was registered through City National Rochdale, February 2013 to March 2014.

Source: IAPD individual record, checked 17 October 2026

Where is Adam Phillips based?

Adam Phillips’ registered office is in Torrance, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at EP Wealth Advisors

Sources

  1. IAPD individual record, CRD 6124345. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of EP Wealth Advisors, LLC., filed 17 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Adam Phillips or EP Wealth Advisors, LLC. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.