{"url":"https://nivawealth.com/firms/phillips-and-company-advisors-167214","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/167214","regulatoryAum":2664967346,"crd":"167214","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2667879","suffix":null,"lastName":"EDWARDS","firstName":"THOMAS","middleName":"SCOTT"},{"crd":"6371093","suffix":null,"lastName":"Gill","firstName":"Catherine","middleName":null},{"crd":"2601331","suffix":null,"lastName":"GOODRICH","firstName":"MICHAEL","middleName":"FRANK"},{"crd":"3267784","suffix":null,"lastName":"HARDY","firstName":"MICHAEL","middleName":"SCOTT"},{"crd":"2859940","suffix":null,"lastName":"Hughes","firstName":"Kristen","middleName":"Leigh Trudo"},{"crd":"2899549","suffix":null,"lastName":"LOEWEN","firstName":"MARK","middleName":"TIMOTHY"},{"crd":"2477453","suffix":"IV","lastName":"MACDONALD","firstName":"GEORGE","middleName":"EARL"},{"crd":"5776719","suffix":null,"lastName":"MYERS","firstName":"GEORGE","middleName":"Joseph"},{"crd":"4766908","suffix":null,"lastName":"NOLL","firstName":"STACY","middleName":"ALLAN"},{"crd":"3263875","suffix":null,"lastName":"PARLOW","firstName":"CHAD","middleName":"JAMES"},{"crd":"1395428","suffix":null,"lastName":"PHILLIPS","firstName":"TIMOTHY","middleName":"CHARLES"},{"crd":"2776776","suffix":null,"lastName":"SCHMIDT","firstName":"MATTHEW","middleName":"MARTIN"},{"crd":"1396542","suffix":null,"lastName":"SMITH","firstName":"JAMES","middleName":"TODD"}],"total":13,"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":"2021-03-31","regulatoryAum":1114333334,"clients":1032,"employees":18,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":1141648569,"clients":1044,"employees":20,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":1171903143,"clients":1080,"employees":21,"offices":1},{"filedOn":"2024-03-31","regulatoryAum":1410908388,"clients":1125,"employees":22,"offices":1},{"filedOn":"2025-05-05","regulatoryAum":2276351775,"clients":1525,"employees":21,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":2664967346,"clients":1273,"employees":19,"offices":1}],"secFileNumber":"801-63879","legalName":"Phillips and Company Advisors LLC","displayName":"Phillips and Company Advisors","slug":"phillips-and-company-advisors-167214","website":"https://phillipsandco.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/167214/4bd67bfb45e7bae6-r1.webp","tone":"light","width":433,"height":200,"sourceUrl":"http://phillipsandco.com/","sourceLabel":"Phillips and Company Advisors LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://linkedin.com/company/phillipsandcompany","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"521 SW 11th Avenue, Suite 200","city":"Portland","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97205"},"tradeNames":["Phillips and Company"],"registration":{"secApproved":"31 October 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1669271.1621621621,"staff":{"employees":19,"advisory":13,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":2664967346,"discretionary":1205123288,"discretionaryAccounts":2527,"nonDiscretionary":1459844058,"nonDiscretionaryAccounts":148,"wrapProgram":364620203,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":934,"regulatoryAum":239671955},{"label":"High-net-worth individuals","clients":176,"regulatoryAum":1613219035},{"label":"Pension and profit-sharing plans","clients":134,"regulatoryAum":603848171},{"label":"Charitable organizations","clients":10,"regulatoryAum":109394162},{"label":"Corporations and other businesses","clients":19,"regulatoryAum":98834023}],"feePrograms":[{"role":"other","program":"Account and Portfolio Consultations","summary":"Consultations on accounts the firm does not manage are billed quarterly in advance; the fee will not exceed 1.75% annually on the total assets reviewed.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026796","versionId":1026796,"submittedOn":"2026-03-26","documentName":"PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T05:02:43.76441+00:00","documents":[{"name":"PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026796","versionId":1026796,"submittedOn":"2026-03-26"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026797","versionId":1026797,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":1096755333}],"custodyNote":"Phillips and Company Advisors does not have custody of client assets.","leadership":[{"name":"James Smith","title":"CFO, CCO","crd":"1396542"},{"name":"Timothy Phillips","title":"CEO","crd":"1395971"}],"ownership":[{"label":"Timothy Phillips","detail":"Ceo in the 75% or more ownership band and a control person, since February 1992."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"521 SW 11th Avenue, Suite 200","city":"Portland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-224-0858","stateRegisteredReps":13,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":56},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":26},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":5},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/167214/PDF/167214.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026796","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 Phillips and Company Advisors have?","answer":"Phillips and Company Advisors has 1,273 clients and manages $2.66 billion for them, as of March 2026. They include 934 individual clients, 176 high-net-worth individuals, and 134 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Phillips and Company Advisors offer?","answer":"Phillips and Company Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Phillips and Company Advisors use?","answer":"Phillips and Company Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $1.1B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Phillips and Company Advisors have?","answer":"Phillips and Company Advisors has 13 investment adviser representatives registered with state securities authorities, out of 19 employees, and 13 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Phillips and Company Advisors invest in?","answer":"At the end of its last fiscal year, Phillips and Company Advisors’ separately managed accounts held 56% exchange-traded equities, 26% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 5% pooled vehicles (private funds and similar), 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","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 Phillips and Company Advisors?","answer":"Phillips and Company Advisors’ direct owner is Timothy Phillips (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Phillips and Company Advisors get paid?","answer":"Phillips and Company Advisors is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions 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":"Is Phillips and Company Advisors registered with the SEC?","answer":"Yes, Phillips and Company Advisors has been registered with the SEC as an investment adviser since 31 October 2011. Its CRD number is 167214 and its SEC file number is 801-63879.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Phillips and Company Advisors?","answer":"Phillips and Company Advisors’ main office is at 521 SW 11th Avenue, Suite 200, Portland, OR 97205. Its phone number is 503-224-0858. Its website is phillipsandco.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 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."}