{"url":"https://nivawealth.com/firms/philip-o-johnson-and-company-104621","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104621","regulatoryAum":300962981,"crd":"104621","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5795303","suffix":null,"lastName":"JOHNSON","firstName":"MARCUS","middleName":"F."},{"crd":"846457","suffix":null,"lastName":"JOHNSON","firstName":"PHILIP","middleName":"OTHO"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":182103367,"clients":239,"employees":3,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":201605135,"clients":246,"employees":3,"offices":1},{"filedOn":"2023-02-24","regulatoryAum":169650742,"clients":278,"employees":3,"offices":1},{"filedOn":"2024-02-29","regulatoryAum":191094292,"clients":271,"employees":3,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":242602861,"clients":272,"employees":6,"offices":1},{"filedOn":"2026-03-19","regulatoryAum":300962981,"clients":297,"employees":5,"offices":1}],"secFileNumber":"801-113449","legalName":"Philip O. Johnson & Company, LTD.","displayName":"Philip O. Johnson & Company","slug":"philip-o-johnson-and-company-104621","website":"https://johnsonfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/johnsonfinancial/","xUrl":"https://www.twitter.com/johnsonadvisors/","founded":"1981","organization":"Arizona corporation","fiscalYearEnd":"December","headquarters":{"street":"1095  W Rio Salado Parkway, Suite 201","city":"Tempe","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85281-2610"},"tradeNames":[],"registration":{"secApproved":"15 June 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1013343.3703703703,"staff":{"employees":5,"advisory":2,"brokerDealerReps":2,"insuranceAgents":2,"promoters":2},"aum":{"regulatory":300962981,"discretionary":300962981,"discretionaryAccounts":756,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":220,"regulatoryAum":80992538},{"label":"High-net-worth individuals","clients":77,"regulatoryAum":219970443}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022208","versionId":1022208,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-19","documentName":"JOHNSON FINANCIAL ADVISORS ADV PART 2A & 2B SUPPLEMENTS","fee_rate_low":null,"fee_rate_high":2.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning services","summary":"Fixed fee, negotiable, based on the nature and complexity of the plan, with a $2,500 minimum for all plans; may be waived for investment management clients.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022208","versionId":1022208,"submittedOn":"2026-03-19","documentName":"JOHNSON FINANCIAL ADVISORS ADV PART 2A & 2B SUPPLEMENTS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:45:12.344089+00:00","documents":[{"name":"JOHNSON FINANCIAL ADVISORS ADV PART 2A & 2B SUPPLEMENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022208","versionId":1022208,"submittedOn":"2026-03-19"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":201092785},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":91932835}],"custodyNote":"Philip O. Johnson & Company has custody of $81.2M for 94 clients.","otherCustodians":[],"leadership":[{"name":"Lynn Johnson","title":"Vice-President/Secretary","crd":"4339723"},{"name":"Marcus Johnson","title":"Chief Compliance Officer (01/2026) / President & CEO (03/2026)","crd":"5795303"},{"name":"Philip Johnson","title":"Treasurer / Chairman (03/2026)","crd":"846457"}],"ownership":[{"label":"Philip Johnson","detail":"Treasurer / chairman (03/2026) in the 75% or more ownership band and a control person, since October 1981."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"1095  W Rio Salado Parkway, Suite 201","city":"Tempe","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"602-242-4000","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":92},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104621/PDF/104621.pdf","brochureDate":"19 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022208","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Philip O. Johnson & Company have?","answer":"Philip O. Johnson & Company has 297 clients and manages $301 million for them, as of March 2026. They include 220 individual clients and 77 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Philip O. Johnson & Company offer?","answer":"Philip O. Johnson & Company provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Philip O. Johnson & Company charge?","answer":"Philip O. Johnson & Company charges up to 2.25% a year for its Investment Management Services. The fee is billed in arrears and is negotiable.","source":"JOHNSON FINANCIAL ADVISORS ADV PART 2A & 2B SUPPLEMENTS, filed 19 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Philip O. Johnson & Company use?","answer":"Philip O. Johnson & Company’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $201M and Fidelity Brokerage Services LLC (Smithfield, RI), with $91.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Philip O. Johnson & Company have?","answer":"Philip O. Johnson & Company has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Philip O. Johnson & Company invest in?","answer":"At the end of its last fiscal year, Philip O. Johnson & Company’s separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Philip O. Johnson & Company?","answer":"Philip O. Johnson & Company’s direct owner is Philip Johnson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Philip O. Johnson & Company get paid?","answer":"Philip O. Johnson & Company is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Philip O. Johnson & Company?","answer":"Philip O. Johnson & Company’s main office is at 1095  W Rio Salado Parkway, Suite 201, Tempe, AZ 85281-2610. Its phone number is 602-242-4000. Its website is johnsonfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}