DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

PHILLIPS AND COMPANY ADVISORS LLC

CRD 167214

PORTLAND, OR

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:b279a08c-8fa1-1b08-c73b-37bcc4d983ff

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 2
On other graphs: 0
Observed: Jun 6, 2013 to Mar 26, 2026
24 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=0.7 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.7BItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $205Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 19
Advisory employees: 13
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,675
Individual clients: 934
High net worth clients: 176
SEC number: 801-63879
CIK: 80163879
CRD: 167214
Filings on the tape: 24
First filed: Jun 6, 2013
Latest filed: Mar 26, 2026
Organised: Limited Liability Company, DE
Website: phillipsandco.com

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
MICHAEL FRANK GOODRICH	n/a	PORTLAND, OR	12	31	1	no
MICHAEL SCOTT HARDY	n/a	PORTLAND, OR	12	27	1	no
TIMOTHY CHARLES PHILLIPS	n/a	PORTLAND, OR	12	39	1	no
MATTHEW MARTIN SCHMIDT	n/a	PORTLAND, OR	12	30	1	no
MARK TIMOTHY LOEWEN	n/a	PORTLAND, OR	12	29	1	no
CHAD JAMES PARLOW	n/a	PORTLAND, OR	12	27	1	no
STACY ALLAN NOLL	n/a	PORTLAND, OR	12	22	2	no
GEORGE EARL MACDONALD	n/a	PORTLAND, OR	12	32	1	no
THOMAS SCOTT EDWARDS	n/a	PORTLAND, OR	12	31	2	no
JAMES TODD SMITH	n/a	PORTLAND, OR	9	32	1	no
GEORGE Joseph MYERS	Chartered Financial Analyst	PORTLAND, OR	4	22	1	no
Kristen Leigh Trudo Hughes	n/a	PORTLAND, OR	2	12	1	no
Catherine Gill	n/a	PORTLAND, OR	1	12	4	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
PHILLIPS, TIMOTHY, CHARLES	Ceo	E	yes	02/1992	Mar 26, 2026	Mar 26, 2026
SMITH, JAMES, TODD	CFO, CCO	Na	yes	03/1997	Mar 26, 2026	Mar 26, 2026

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 26, 2026	$2.7B	$1.2B	19	13	0	n/a	n/a
2024	Apr 1, 2025	$2.3B	$1.1B	21	14	0	n/a	n/a
2023	Mar 31, 2024	$1.4B	$193M	22	15	0	n/a	n/a
2022	Mar 31, 2023	$1.2B	$147M	21	14	0	n/a	n/a
2021	Mar 31, 2022	$1.1B	$141M	20	14	0	n/a	n/a
2020	Mar 31, 2021	$1.1B	$137M	18	13	0	n/a	n/a
2019	May 1, 2020	$1.1B	$121M	18	13	0	n/a	n/a
2018	Mar 29, 2019	$1.0B	$114M	18	13	0	n/a	n/a
2017	Mar 30, 2018	$993M	$113M	18	15	0	n/a	n/a
2016	Mar 31, 2017	$1.1B	$158M	20	17	n/a	n/a	n/a
2015	Aug 31, 2015	$979M	$96.9M	22	18	n/a	n/a	n/a
2014	Sep 29, 2014	$940M	$162M	21	17	n/a	n/a	n/a
2013	Sep 30, 2013	$754M	$104M	21	17	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	0	0	0.0%	0	0	0	2	1

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	$2.7B	$2.3B	17.1%	$1.2B	31.5%	19	21	0	0

Relationships

Registered with (16)

← Catherine GillAdvisorregistration: current employment
Feb 13, 2025 to presentfactForm ADV
← Kristen Leigh Trudo HughesAdvisorregistration: current employment
Sep 19, 2023 to presentfactForm ADV
← GEORGE Joseph MYERSAdvisorregistration: current employment
Jan 3, 2022 to presentfactForm ADV
← JAMES TODD SMITHAdvisorregistration: current employment
Jan 3, 2017 to presentfactForm ADV
← GEORGE EARL MACDONALDAdvisorregistration: current employment
Jan 2, 2014 to presentfactForm ADV
← THOMAS SCOTT EDWARDSAdvisorregistration: current employment
Jan 2, 2014 to presentfactForm ADV
← TIMOTHY CHARLES PHILLIPSAdvisorregistration: current employment
Dec 12, 2013 to presentfactForm ADV
← MATTHEW MARTIN SCHMIDTAdvisorregistration: current employment
Dec 12, 2013 to presentfactForm ADV
← MARK TIMOTHY LOEWENAdvisorregistration: current employment
Dec 12, 2013 to presentfactForm ADV
← CHAD JAMES PARLOWAdvisorregistration: current employment
Dec 12, 2013 to presentfactForm ADV
← STACY ALLAN NOLLAdvisorregistration: current employment
Dec 12, 2013 to presentfactForm ADV
← MICHAEL FRANK GOODRICHAdvisorregistration: current employment
Nov 6, 2013 to presentfactForm ADV
← MICHAEL SCOTT HARDYAdvisorregistration: current employment
Nov 6, 2013 to presentfactForm ADV
← DANIEL CHRISTIAN COLWILLAdvisorregistration: previous registration
Jul 10, 2014 to Mar 6, 2025factForm ADV
← SHAWN JEREMIAH COLUCYAdvisorregistration: previous registration
Nov 6, 2013 to Feb 16, 2016factForm ADV
← ALEC TYSON HORLEYAdvisorregistration: previous registration
Nov 6, 2013 to Apr 30, 2015factForm ADV

Affiliated with (1)

← PHILLIPS & COMPANYRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← PHILLIPS, TIMOTHY, CHARLESOwnerCEO, ownership code E, individual
Jun 6, 2013 to Dec 26, 2024factForm ADV
← SMITH, JAMES, TODDOwnerCFO, CCO, ownership code NA, individual
Jun 6, 2013 to Dec 26, 2024factForm ADV

Dated events

Occurred
Apr 1, 2025
Regulatory AUM changed
Phillips And Company Advisors Llc reported RAUM $2.3B, up 61% from $1.4B (2024-12-26 to 2025-04-01)
Form ADVobserved 3 days ago
$865M
Occurred
Mar 6, 2025
Advisor changed firm
Daniel Christian Colwill left Phillips And Company Advisors Llc for Edward Jones (registered 2025-02-28)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b279a08c-8fa1-1b08-c73b-37bcc4d983ff
First observed: Jun 6, 2013
Last observed: Mar 26, 2026 5 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 AND COMPANY ADVISORS LLC

CRD 167214

PORTLAND, OR

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:b279a08c-8fa1-1b08-c73b-37bcc4d983ff

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL FRANK GOODRICH

n/a

PORTLAND, OR

MICHAEL SCOTT HARDY

n/a

PORTLAND, OR

TIMOTHY CHARLES PHILLIPS

n/a

PORTLAND, OR

MATTHEW MARTIN SCHMIDT

n/a

PORTLAND, OR

MARK TIMOTHY LOEWEN

n/a

PORTLAND, OR

CHAD JAMES PARLOW

n/a

PORTLAND, OR

STACY ALLAN NOLL

n/a

PORTLAND, OR

GEORGE EARL MACDONALD

n/a

PORTLAND, OR

THOMAS SCOTT EDWARDS

n/a

PORTLAND, OR

JAMES TODD SMITH

n/a

PORTLAND, OR

GEORGE Joseph MYERS

Chartered Financial Analyst

PORTLAND, OR

Kristen Leigh Trudo Hughes

n/a

PORTLAND, OR

Catherine Gill

n/a

PORTLAND, OR

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PHILLIPS, TIMOTHY, CHARLES

Ceo

yes

02/1992

Mar 26, 2026

SMITH, JAMES, TODD

CFO, CCO

yes

03/1997

Mar 26, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$2.7B

$1.2B

n/a

2024

Apr 1, 2025

$2.3B

$1.1B

n/a

2023

Mar 31, 2024

$1.4B

$193M

n/a

2022

Mar 31, 2023

$1.2B

$147M

n/a

2021

Mar 31, 2022

$1.1B

$141M

n/a

2020

Mar 31, 2021

$1.1B

$137M

n/a

2019

May 1, 2020

$1.1B

$121M

n/a

2018

Mar 29, 2019

$1.0B

$114M

n/a

2017

Mar 30, 2018

$993M

$113M

n/a

2016

Mar 31, 2017

$1.1B

$158M

n/a

2015

Aug 31, 2015

$979M

$96.9M

n/a

2014

Sep 29, 2014

$940M

$162M

n/a

2013

Sep 30, 2013

$754M

$104M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.7B

$2.3B

17.1%

$1.2B

31.5%