PHILLIPS FINANCIAL

RIASEC RegisteredEst. 2004

Total AUM

$2.6B

Discretionary

$2.3B

87% of AUM

Avg account

$808K

Accounts

3,264

Employees

Advisory reps

Firm details

Headquarters: FORT WAYNE, Indiana
CRD number: 131344
Registered since: July 23, 2004
Website: myphillips.com
Custodians: NATIONAL FINANCIAL SERVICES LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: HNWI57.1%
Pension & Profit Sharing Plans20.96%
Charitable Organizations11.57%
Individuals7.4%
Other Investment Advisers2.78%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Phillips Financial is an independent, LLC-structured registered investment adviser that has been SEC-registered since 2004. It operates as a capital allocator serving individuals, families and institutional accounts. The firm provides a mix of advisory services — financial planning, portfolio management for individuals and for businesses/institutions, pension-related consulting, manager selection, and client education through periodicals and seminars. Its pricing model is flexible and includes AUM-based fees, hourly and fixed-fee arrangements, and commission-based work. The firm does not profile itself as an ESG-focused investor and is not designated as a multi-state adviser. Industry links include relationships with an insurance company and pension consulting activity; however, the snapshot indicates they are not formally listed as a pension consultant. Phillips Financial has been recognized in CNBC’s Top 100 Financial Advisory Firms list in 2021, 2022 and 2025.