Phillip James Financial Co

RIASEC Registered
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 registered investment adviser focused on individual and family clients. The firm is SEC-registered (registered in 2021) and operates as a corporation under individual ownership. Its primary advisory services are financial planning and portfolio management for individuals and small businesses; the firm also lists accounting as a business activity. Fee arrangements include both percentage-of-assets and fixed-fee engagements. The firm reports it does not position itself as a capital allocator, is not a multi-state adviser, and does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

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%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 120

Active vs passive

$148M in ETFs

Passive

91%

$135M

Active

2%

$13.2M

ETFProviderStyleCategoryValueShares% of portfolio
SCHWAB SHORT-TERM US TREASURY ETF (SCHO)SchwabPassiveShort Government$11.8M495,7297.98%

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