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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

PHILLIPS FINANCIAL

PHILLIPS FINANCIAL MANAGEMENT, LLC, CRD 131344

FORT WAYNE, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0c7d4911-1827-96fa-d05c-b9b96d4458c5

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 12
On other graphs: 0
Observed: Dec 22, 2011 to Mar 17, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.64 fund_share=0.03 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.6BItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
Private client RAUM: $1.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 64%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $176Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 32
Advisory employees: 14
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3,264
Individual clients: 472
High net worth clients: 416
Custody, client assets: $167M
SEC number: 801-63343
CRD: 131344
Filings on the tape: 43
First filed: Dec 22, 2011
Latest filed: Mar 17, 2026
Organised: Limited Liability Company, IN

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHAD LEE BURCH	Certified Financial Planner\|Chartered Financial Consultant	FORT WAYNE, IN	22	37	2	no
RICHARD LYNN PHILLIPS	Certified Financial Planner	FORT WAYNE, IN	22	44	2	no
ERIN ELIZABETH MARTIN	n/a	FORT WAYNE, IN	19	19	n/a	no
BEN JASON LANGEL	Certified Financial Planner	FORT WAYNE, IN	11	14	n/a	no
BENJAMIN ADAM BATT	n/a	FORT WAYNE, IN	9	11	n/a	no
JENNIFER ANNE MACALEESE	Certified Financial Planner	FORT WAYNE, IN	8	20	1	no
David Michael Hamel	Certified Financial Planner	FORT WAYNE, IN	6	13	n/a	no
ANDREW WILLIAM PARKER	Certified Financial Planner\|Chartered Financial Analyst	FORT WAYNE, IN	4	16	2	no
Riley William Reimschisel	Certified Financial Planner	FORT WAYNE, IN \| CARMEL, IN	4	19	1	no
Duncan Bowie	Certified Financial Planner	FORT WAYNE, IN	2	10	1	no
Abhi Hemant Jinwala	n/a	FORT WAYNE, IN	1	13	1	no
Hunter Christian Terrell	n/a	FORT WAYNE, IN	1	11	n/a	no
Marisa Beth Meadows	n/a	FORT WAYNE, IN	1	12	n/a	no
McKenna Elizabeth Clifford	n/a	FORT WAYNE, IN	1	11	1	no
Brendan Michael Ryan	n/a	FORT WAYNE, IN	0	15	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOXELL, KRYSTAL, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	05/2025	Mar 17, 2026	Mar 17, 2026
BURCH, CHAD, LEE	MANAGING MEMBER	A	yes	07/2004	Mar 17, 2026	Mar 17, 2026
GERBER, BRANT, W	CHIEF OPERATING OFFICER	Na	yes	09/2023	Mar 17, 2026	Mar 17, 2026
LANGEL, BEN, JASON	CHIEF EXECUTIVE OFFICER	B	yes	01/2016	Mar 17, 2026	Mar 17, 2026
MACALEESE, JENNIFER, ANNE	MANAGING MEMBER	Na	yes	01/2025	Mar 17, 2026	Mar 17, 2026
MARTIN, ERIN, ELIZABETH	MANAGING MEMBER	Na	yes	12/2020	Mar 17, 2026	Mar 17, 2026
PHILLIPS, RICHARD, LYNN	MANAGING MEMBER	C	yes	07/2004	Mar 17, 2026	Mar 17, 2026
HARDIEK, SHANNON, HICKS	MANAGING MEMBER	B	yes	07/2004	Dec 22, 2011	Mar 28, 2024
HEROLD, JEANINE, MARIE	MANAGING MEMBER	A	yes	01/2008	Dec 22, 2011	Mar 28, 2024
PARKER, ANDREW, WILLIAM	Member	F	yes	01/2024	Mar 28, 2024	Mar 28, 2024
AAKLB LLC	MANAGING MEMBER	B	no	01/2024	Mar 17, 2026	Mar 17, 2026
Reimschisel, Riley, William	Member	F	no	01/2024	Mar 28, 2024	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PHILLIPS BENEFITS ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
PHILLIPS FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Carmel	In	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 17, 2026	$2.6B	$2.3B	32	14	1	n/a	n/a
2023	Mar 28, 2024	$2.1B	$1.7B	32	16	1	n/a	n/a
2022	Mar 31, 2023	$1.7B	$1.7B	31	15	0	n/a	n/a
2021	Mar 31, 2022	$1.5B	$1.3B	30	15	0	n/a	n/a
2020	Mar 16, 2021	$1.1B	$954M	27	13	0	n/a	n/a
2019	Mar 17, 2020	$1.0B	$837M	26	13	0	n/a	n/a
2018	Mar 20, 2019	$916M	$743M	21	13	0	n/a	n/a
2017	Mar 30, 2018	$899M	$680M	21	14	0	n/a	n/a
2016	Mar 26, 2017	$909M	$888M	17	12	n/a	n/a	n/a
2015	Mar 28, 2016	$799M	$782M	12	4	n/a	n/a	n/a
2014	Feb 3, 2015	$720M	$720M	17	11	n/a	n/a	n/a
2013	Mar 24, 2014	$711M	$711M	15	10	n/a	n/a	n/a
2012	Mar 22, 2013	$614M	$614M	15	10	n/a	n/a	n/a
2011	Mar 27, 2012	$537M	$537M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	3	-3	20.0%	0	0	0	3	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.6B	n/a	n/a	$1.7B	14.6%	32	n/a	1	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	3	Mar 2, 2026	Feb 27, 2026	FORT WAYNE, IN	Team lift out	RIA to ibd	17.6%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VESTIA PERSONAL WEALTH ADVISORS	2	Feb 1, 2022	Feb 2, 2022	FORT WAYNE, IN	Team lift out	RIA to RIA	14.3%

Relationships

Registered with (21)

← Brendan Michael RyanAdvisorregistration: current employment
Apr 22, 2026 to presentfactForm ADV
← McKenna Elizabeth CliffordAdvisorregistration: current employment
Jun 27, 2025 to presentfactForm ADV
← Marisa Beth MeadowsAdvisorregistration: current employment
Apr 4, 2025 to presentfactForm ADV
← Hunter Christian TerrellAdvisorregistration: current employment
Jan 17, 2025 to presentfactForm ADV
← Abhi Hemant JinwalaAdvisorregistration: current employment
Dec 17, 2024 to presentfactForm ADV
← Duncan BowieAdvisorregistration: current employment
Apr 2, 2024 to presentfactForm ADV
← ANDREW WILLIAM PARKERAdvisorregistration: current employment
Feb 2, 2022 to presentfactForm ADV
← Riley William ReimschiselAdvisorregistration: current employment
Feb 2, 2022 to presentfactForm ADV
← David Michael HamelAdvisorregistration: current employment
Jan 11, 2020 to presentfactForm ADV
← JENNIFER ANNE MACALEESEAdvisorregistration: current employment
Nov 18, 2017 to presentfactForm ADV
← BENJAMIN ADAM BATTAdvisorregistration: current employment
Aug 17, 2017 to presentfactForm ADV
← BEN JASON LANGELAdvisorregistration: current employment
Jan 13, 2015 to presentfactForm ADV
← ERIN ELIZABETH MARTINAdvisorregistration: current employment
Jan 26, 2007 to presentfactForm ADV
← RICHARD LYNN PHILLIPSAdvisorregistration: current employment
Aug 10, 2004 to presentfactForm ADV
← CHAD LEE BURCHAdvisorregistration: current employment
Aug 6, 2004 to presentfactForm ADV
← MICHELLE LYNN MARTINAdvisorregistration: previous registration
Mar 15, 2005 to Mar 11, 2026factForm ADV
← SHANNON H HARDIEKAdvisorregistration: previous registration
Aug 5, 2004 to Mar 2, 2026factForm ADV
← Bradley A.J. WadkinsAdvisorregistration: previous registration
Dec 3, 2021 to Mar 2, 2026factForm ADV
← JOHN H FOXWORTHYAdvisorregistration: previous registration
Apr 27, 2010 to Aug 14, 2015factForm ADV
← ANDREW DAVID MINNICHAdvisorregistration: previous registration
Mar 24, 2006 to Jan 18, 2008factForm ADV
← Thomas Scott MartinAdvisorregistration: previous registration
May 19, 2005 to Jan 11, 2008factForm ADV

Moved with (2)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviser3 advisors, team lift out
Mar 2, 2026 to Feb 27, 2026factForm ADV
← VESTIA PERSONAL WEALTH ADVISORSRegistered adviser2 advisors, team lift out, same day
Feb 1, 2022 to Feb 2, 2022factForm ADV

Controls (8)

← HEROLD, JEANINE, MARIEOwnerMANAGING MEMBER, ownership code A, individual
Dec 22, 2011 to Mar 28, 2024factForm ADV
← BURCH, CHAD, LEEOwnerMANAGING MEMBER, ownership code A, individual
Dec 22, 2011 to Mar 28, 2024factForm ADV
← HARDIEK, SHANNON, HICKSOwnerMANAGING MEMBER, ownership code B, individual
Dec 22, 2011 to Mar 28, 2024factForm ADV
← MARTIN, ERIN, ELIZABETHOwnerMANAGING MEMBER, ownership code NA, individual
Mar 16, 2021 to Mar 28, 2024factForm ADV
← PARKER, ANDREW, WILLIAMOwnerMEMBER, ownership code F, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← LANGEL, BEN, JASONOwnerMANAGING MEMBER, ownership code B, individual
Mar 20, 2019 to Mar 28, 2024factForm ADV
← PHILLIPS, RICHARD, LYNNOwnerMANAGING MEMBER, ownership code C, individual
Dec 22, 2011 to Mar 28, 2024factForm ADV
← GERBER, BRANT, WOwnerCHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 16, 2021 to Mar 28, 2024factForm ADV

Owns (2)

← Reimschisel, Riley, WilliamOwnerMEMBER, ownership code F, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← AAKLB LLCOwnerMANAGING MEMBER, ownership code B, domestic entity
Mar 28, 2024 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 11, 2026
Advisor changed firm
Michelle Lynn Martin left Phillips Financial for Cambridge Investment Research Advisors, Inc. (registered 2026-02-27)
Form ADVobserved 6 days ago
Occurred
Mar 2, 2026
Team lift-out
3 advisors left Phillips Financial (Fort Wayne, IN) for Cambridge Investment Research Advisors, Inc. within 9 days
Form ADVobserved 6 days ago
3 advisors
Occurred
Mar 2, 2026
Advisor changed firm
Bradley A.J. Wadkins left Phillips Financial for Cambridge Investment Research Advisors, Inc. (registered 2026-02-27)
Form ADVobserved 6 days ago
Occurred
Mar 2, 2026
Advisor changed firm
Shannon H Hardiek left Phillips Financial for Cambridge Investment Research Advisors, Inc. (registered 2026-02-27)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Control person joined
William Andrew Parker (Member) appeared on Schedule A of Phillips Financial
Form ADVobserved 6 days ago
Occurred
Sep 18, 2023
Control person left
Marie Abigail Bienz (Chief Compliance Officer) no longer on Schedule A of Phillips Financial (listed 2023-03-31, absent 2023-09-18)
Form ADVobserved 6 days ago
Occurred
Oct 3, 2022
Control person joined
Marie Abigail Bienz (Chief Compliance Officer) appeared on Schedule A of Phillips Financial
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Phillips Financial reported RAUM $1.5B, up 39% from $1.1B (2022-01-19 to 2022-03-31)
Form ADVobserved 6 days ago
$435M
Occurred
Feb 1, 2022
Team lift-out
2 advisors left Vestia Personal Wealth Advisors (Fort Wayne, IN) for Phillips Financial on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 16, 2021
Control person left
Paul Reed Miller (Managing Member) no longer on Schedule A of Phillips Financial (listed 2020-06-30, absent 2021-03-16)
Form ADVobserved 6 days ago
Occurred
Mar 16, 2021
Control person joined
Elizabeth Erin Martin (Managing Member) appeared on Schedule A of Phillips Financial
Form ADVobserved 6 days ago
Occurred
Mar 20, 2019
Control person joined
Jason Ben Langel (Managing Member) appeared on Schedule A of Phillips Financial
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c7d4911-1827-96fa-d05c-b9b96d4458c5
First observed: Dec 22, 2011
Last observed: Mar 17, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PHILLIPS FINANCIAL

PHILLIPS FINANCIAL MANAGEMENT, LLC, CRD 131344

FORT WAYNE, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0c7d4911-1827-96fa-d05c-b9b96d4458c5

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHAD LEE BURCH

Certified Financial Planner|Chartered Financial Consultant

FORT WAYNE, IN

RICHARD LYNN PHILLIPS

Certified Financial Planner

FORT WAYNE, IN

ERIN ELIZABETH MARTIN

n/a

FORT WAYNE, IN

n/a

BEN JASON LANGEL

Certified Financial Planner

FORT WAYNE, IN

n/a

BENJAMIN ADAM BATT

n/a

FORT WAYNE, IN

n/a

JENNIFER ANNE MACALEESE

Certified Financial Planner

FORT WAYNE, IN

David Michael Hamel

Certified Financial Planner

FORT WAYNE, IN

n/a

ANDREW WILLIAM PARKER

Certified Financial Planner|Chartered Financial Analyst

FORT WAYNE, IN

Riley William Reimschisel

Certified Financial Planner

FORT WAYNE, IN | CARMEL, IN

Duncan Bowie

Certified Financial Planner

FORT WAYNE, IN

Abhi Hemant Jinwala

n/a

FORT WAYNE, IN

Hunter Christian Terrell

n/a

FORT WAYNE, IN

n/a

Marisa Beth Meadows

n/a

FORT WAYNE, IN

n/a

McKenna Elizabeth Clifford

n/a

FORT WAYNE, IN

Brendan Michael Ryan

n/a

FORT WAYNE, IN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOXELL, KRYSTAL, LYNN

CHIEF COMPLIANCE OFFICER

yes

05/2025

Mar 17, 2026

BURCH, CHAD, LEE

MANAGING MEMBER

yes

07/2004

Mar 17, 2026

GERBER, BRANT, W

CHIEF OPERATING OFFICER

yes

09/2023

Mar 17, 2026

LANGEL, BEN, JASON

CHIEF EXECUTIVE OFFICER

yes

01/2016

Mar 17, 2026

MACALEESE, JENNIFER, ANNE

MANAGING MEMBER

yes

01/2025

Mar 17, 2026

MARTIN, ERIN, ELIZABETH

MANAGING MEMBER

yes

12/2020

Mar 17, 2026

PHILLIPS, RICHARD, LYNN

MANAGING MEMBER

yes

07/2004

Mar 17, 2026

HARDIEK, SHANNON, HICKS

MANAGING MEMBER

yes

07/2004

Dec 22, 2011

Mar 28, 2024

HEROLD, JEANINE, MARIE

MANAGING MEMBER

yes

01/2008

Dec 22, 2011

Mar 28, 2024

PARKER, ANDREW, WILLIAM

Member

yes

01/2024

Mar 28, 2024

AAKLB LLC

MANAGING MEMBER

01/2024

Mar 17, 2026

Reimschisel, Riley, William

Member

01/2024

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PHILLIPS BENEFITS ADVISORS, LLC

n/a

yes

n/a

PHILLIPS FINANCIAL SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Carmel

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 17, 2026

$2.6B

$2.3B

n/a

2023

Mar 28, 2024

$2.1B

$1.7B

n/a

2022

Mar 31, 2023

$1.7B

n/a

2021

Mar 31, 2022

$1.5B

$1.3B

n/a

2020

Mar 16, 2021

$1.1B

$954M

n/a

2019

Mar 17, 2020

$1.0B

$837M

n/a

2018

Mar 20, 2019

$916M

$743M

n/a

2017

Mar 30, 2018

$899M

$680M

n/a

2016

Mar 26, 2017

$909M

$888M

n/a

2015

Mar 28, 2016

$799M

$782M

n/a

2014

Feb 3, 2015

$720M

n/a

2013

Mar 24, 2014

$711M

n/a

2012

Mar 22, 2013

$614M

n/a

2011

Mar 27, 2012

$537M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-3

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.6B

n/a

$1.7B

14.6%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Mar 2, 2026

Feb 27, 2026

FORT WAYNE, IN

Team lift out

RIA to ibd

17.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VESTIA PERSONAL WEALTH ADVISORS

Feb 1, 2022

Feb 2, 2022

FORT WAYNE, IN

Team lift out

RIA to RIA

14.3%