Wealth manager, independent · Portland, OR
Phillips and Company Advisors LLC
SEC-registered investment adviser · CRD 167214 · SEC 801-63879
At a glance
Phillips and Company Advisors LLC is an SEC-registered investment adviser based in Portland, Oregon, with $2.7B in regulatory assets under management as of its Form ADV filed March 26, 2026. It reports 1,110 individual clients, 176 of them high-net-worth, holding an average of about $1.7 million each, and 19 employees. That ranks it 419th among the nation’s 5,657 independent wealth management RIAs and 6th of 101 in Oregon. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 503-224-0858phillipsandco.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.7B
- Rank among independent wealth managers
- #419 of 5,657
- Rank among all SEC RIAs
- #3,053 of 17,210
- Rank in Oregon
- #6 of 101
- Individual clients
- 1,110
- High-net-worth clients
- 176
- Accounts
- 2,675
- Discretionary
- 45% of AUM
- Employees
- 19
- Advisory staff
- 13
- Offices
- 1
Owners and executives on its Form ADV
- Timothy C. PhillipsCEO
- James T. SmithCFO, CCO
Custody and brokerage
Broker-dealer
No broker-dealer ties
Phillips and Company Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 176 | $1.6B | 61% |
| Pension and profit sharing plans | 134 | $604M | 23% |
| Individuals | 934 | $240M | 9% |
| Charitable organizations | 10 | $109M | 4% |
| Corporations or other businesses | 19 | $99M | 4% |
Disciplinary disclosures
Phillips and Company Advisors LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗phillipsandco.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,522 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Oregon
All of Oregon →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Aldrich Wealth LPLake Oswego | $7.6B | 651 |
| Becker Capital Management, Inc.Portland | $5.7B | 745 |
| Vista Capital Partners, Inc.Portland | $3.2B | 651 |
| CS Planning CorpPortland | $2.0B | 4,190 |
| Sapient Private Wealth Management, LLCEugene | $1.7B | 609 |
| Cutler Investment GroupJacksonville | $1.5B | 949 |
Background
Questions
How much does Phillips and Company Advisors LLC manage?
Phillips and Company Advisors LLC reports $2.7B in regulatory assets under management across 2,675 accounts, 45% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
How many clients does Phillips and Company Advisors LLC have?
It reports 1,110 individual clients: 176 high-net-worth individuals and 934 other individuals. Individuals account for about 70% of its regulatory assets.
Where is Phillips and Company Advisors LLC headquartered?
Its main office is in Portland, Oregon. It reports 1 office in total and 19 employees, 13 of whom perform investment advisory functions.
How does Phillips and Company Advisors LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Phillips and Company Advisors LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 26, 2026, it reports these amounts held: Charles Schwab ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Phillips and Company Advisors LLC a hybrid RIA with a broker-dealer?
Phillips and Company Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Phillips and Company Advisors LLC a fiduciary?
As an SEC-registered investment adviser, Phillips and Company Advisors LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Phillips and Company Advisors LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →