PHILLIP JAMES FINANCIAL CO.

RIASEC RegisteredEst. 2021
Total AUM
$222M
Discretionary
$219M
99% of AUM
Avg account
$293K
Accounts
758
Employees
3
Advisory reps
2

Firm details

Headquarters
PLYMOUTH, Minnesota
CRD number
168228
Registered since
February 16, 2021
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI89.08%
  • Individuals10.92%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Phillip James Financial Co. is an independent, SEC-registered registered investment adviser organized as a corporation and owned by an individual. The firm focuses on serving individual and family clients with financial planning and portfolio management for individuals and small businesses. Its advisory fees are charged as a percentage of assets under management and via fixed fees. The firm also lists accounting among its business activities. Phillip James Financial Co. is not positioned as a capital allocator, does not identify as an active ESG investor, and is not noted as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 51%, Public Funds/Mutual Funds 40%, US Government Bonds 5%, State & Local Bonds 3%, Cash & Cash Equivalents 1%51%
  • Exchange Traded Equities51%
  • Public Funds/Mutual Funds40%
  • US Government Bonds5%
  • State & Local Bonds3%
  • Cash & Cash Equivalents1%

Contacts

2 of 2
  • PHILLIP CHRISTENSON

    Portfolio ManagerCRD 5082883

  • JAMES SEXTON

    Co-FounderCRD 6213353

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 55

Active vs passive

$58.2M in ETFs

Passive

97%

$56.2M

Active

1%

$2M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL BOND MARKET INDEX FUND (BND)VanguardPassiveIntermediate Core Bond$8.4M113,55414.46%

Location

Primary office

PLYMOUTH, MN

HENNEPIN

Location

PLYMOUTH, MN

Headquartered in PLYMOUTH, MN, anchoring the Minneapolis-St. Paul, MN-WI metro in the Midwest.

Metro area
Minneapolis-St. Paul, MN-WI
Region
Midwest
County
HENNEPIN
Address
3675 Plymouth Blvd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth