Phillips & Company Securities Inc. (Portland)

Name: Phillips & Company Securities Inc.
Address: 1300 Sw Fifth Ave, Portland, OR, 97201 5628
Telephone: 503-224-0858

Phillips & Company Securities Inc. is a multi-state adviser based in Portland. It manages $80.98 million of regulatory assets for 682 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alaska, Arizona, California, and 31 other states.

Phillips & Company Securities provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and foundation and endowment consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Phillips & Company Securities: assets under management

The assets under management (AUM) of Phillips & Company Securities Inc. is $80.98 million. The firm's AUM has grown by 79% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.27 million in discretionary accounts and $69.71 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $51 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $151.22 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Phillips & Company Securities Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Phillips & Company Securities Inc.

Steven Christopher Clark has been acting as President since 1 Oct 2000. Joseph Thornton Iii Harper joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Timothy Charles Phillips	Ceo	1 Feb 1992	50% - 75%	1395428
James Todd Smith	Fin-op, coo	1 Mar 1997	Other	1396542
Steven Christopher Clark	President/managing director	1 Oct 2000	50% - 75%	1952666
Philip Bryan Hagen	Crop/srop, compliance, muni principal, options principal,chief compliance officer	1 Nov 2000	Other	2300287
Joseph Thornton Iii Harper	Chief compliance officer	1 Jan 2011	Other	xxx-xx-xxxx

Based in Portland

The principal office where Phillips & Company Securities Inc. performs its advisory services is located at 1300 Sw Fifth Ave, Portland, OR 97201 5628, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 503-224-0858 or by fax 503-224-8207. The normal business hours are 6:30 am - 5:00 pm pst on Monday - Friday. You can find more information about the New York firm at www.phillipsandco.com.