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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PHILLIPS & COMPANY

PHILLIPS AND COMPANY ADVISORS, LLC, CRD 35800

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:c7df3ae2-c76b-e339-c6df-b8429e49159f

Data as of Nov 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 42
Dated events: 1
On other graphs: 0
Observed: Nov 30, 2011 to Nov 5, 2013
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $754MItem 5.F on the latest filing (2013-11-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $104M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees: 16
Accounts: 1,991
SEC number: 801-
CRD: 35800
Filings on the tape: 6
First filed: Nov 30, 2011
Latest filed: Nov 5, 2013
Organised: Limited Liability Company, Delaware

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
HARPER, JOSEPH THORNTON III	CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Nov 30, 2011	Nov 5, 2013
PHILLIPS, TIMOTHY CHARLES	Ceo	E	yes	02/1992	Nov 30, 2011	Nov 5, 2013
SMITH, JAMES TODD	FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL	Na	yes	03/1997	Nov 30, 2011	Nov 5, 2013

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 AND COMPANY ADVISORS LLC	n/a	Independent wealth	$2.7B	N	yes	n/a

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
2013	Sep 30, 2013	$754M	$104M	22	16	n/a	n/a	n/a
2012	Oct 1, 2012	$530M	$26.8M	n/a	n/a	n/a	n/a	n/a

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
2013	$754M	$530M	42.1%	n/a	n/a	22	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ PHILLIPS AND COMPANY ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← PHILLIPS, TIMOTHY CHARLESOwnerCEO, ownership code E, individual
Nov 30, 2011 to presentfactForm ADV
← SMITH, JAMES TODDOwnerFIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← HARPER, JOSEPH THORNTON IIIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV

Registered with (36)

← TIMOTHY CHARLES PHILLIPSAdvisorregistration: previous registration
Apr 27, 2004 to Dec 31, 2013factForm ADV
← JAMES TODD SMITHAdvisorregistration: previous registration
Nov 6, 2013 to Dec 31, 2013factForm ADV
← GEORGE EARL MACDONALDAdvisorregistration: previous registration
Mar 17, 2004 to Dec 31, 2013factForm ADV
← MICHAEL FRANK GOODRICHAdvisorregistration: previous registration
Mar 17, 2004 to Dec 31, 2013factForm ADV
← THOMAS SCOTT EDWARDSAdvisorregistration: previous registration
Mar 17, 2004 to Dec 31, 2013factForm ADV
← MATTHEW MARTIN SCHMIDTAdvisorregistration: previous registration
May 6, 2004 to Dec 31, 2013factForm ADV
← MARK TIMOTHY LOEWENAdvisorregistration: previous registration
May 13, 2004 to Dec 31, 2013factForm ADV
← CHAD JAMES PARLOWAdvisorregistration: previous registration
Aug 19, 2004 to Dec 31, 2013factForm ADV
← MICHAEL SCOTT HARDYAdvisorregistration: previous registration
Jul 9, 2004 to Dec 31, 2013factForm ADV
← STACY ALLAN NOLLAdvisorregistration: previous registration
Feb 26, 2009 to Dec 31, 2013factForm ADV
← SHAWN JEREMIAH COLUCYAdvisorregistration: previous registration
Aug 21, 2006 to Dec 31, 2013factForm ADV
← ALEC TYSON HORLEYAdvisorregistration: previous registration
Aug 21, 2006 to Dec 31, 2013factForm ADV
← LAUREN MICHELE REEDAdvisorregistration: previous registration
Sep 9, 2011 to Apr 24, 2013factForm ADV
← ADAM GREGORY JOHNSONAdvisorregistration: previous registration
Nov 22, 2011 to Dec 18, 2012factForm ADV
← ADAM MICHAEL GULLEDGEAdvisorregistration: previous registration
Oct 30, 2009 to Nov 13, 2012factForm ADV
← ERIC JAMES HOLDERAdvisorregistration: previous registration
Aug 8, 2011 to Jul 13, 2012factForm ADV
← Jason Scott HildebrantAdvisorregistration: previous registration
Aug 3, 2004 to Sep 20, 2011factForm ADV
← BENJAMIN SCOTT ROLLINSAdvisorregistration: previous registration
Mar 17, 2004 to Jul 30, 2011factForm ADV
← JOSHUA DAVID BRAKELAdvisorregistration: previous registration
Aug 25, 2005 to Jul 30, 2011factForm ADV
← BRYAN A BETITAAdvisorregistration: previous registration
Mar 17, 2009 to May 27, 2011factForm ADV
← RYAN JAMES ESPINGAdvisorregistration: previous registration
Sep 13, 2010 to Apr 12, 2011factForm ADV
← TYLER JAY OSTBYAdvisorregistration: previous registration
Jul 16, 2009 to Dec 3, 2009factForm ADV
← Emanuel Rick GRADAdvisorregistration: previous registration
Jan 26, 2005 to Apr 22, 2009factForm ADV
← DOMINIC VICTOR OLVERAAdvisorregistration: previous registration
Jan 5, 2007 to Dec 4, 2008factForm ADV
← SETH ERIC KRUSSMANAdvisorregistration: previous registration
May 30, 2008 to Dec 3, 2008factForm ADV
← DAVID MATTHEW KEHLAdvisorregistration: previous registration
Apr 23, 2008 to Oct 31, 2008factForm ADV
← GEORGE OLIVER BLANCHARDAdvisorregistration: previous registration
Sep 15, 2004 to Oct 10, 2008factForm ADV
← KODI ROBERT HERMANNAdvisorregistration: previous registration
Jul 9, 2004 to Sep 26, 2008factForm ADV
← HANK CLAYTONAdvisorregistration: previous registration
Sep 7, 2005 to Jan 30, 2008factForm ADV
← Dan Craig McLaughlinAdvisorregistration: previous registration
Mar 29, 2004 to Dec 21, 2007factForm ADV
and 6 more

Dated events

Occurred
Nov 30, 2011
Succession filed (Item 4)
Phillips & Company reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7df3ae2-c76b-e339-c6df-b8429e49159f
First observed: Nov 30, 2011
Last observed: Nov 5, 2013 156 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 & COMPANY

PHILLIPS AND COMPANY ADVISORS, LLC, CRD 35800

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:c7df3ae2-c76b-e339-c6df-b8429e49159f

Data as of Nov 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HARPER, JOSEPH THORNTON III

CHIEF COMPLIANCE OFFICER

yes

01/2011

Nov 30, 2011

Nov 5, 2013

PHILLIPS, TIMOTHY CHARLES

Ceo

yes

02/1992

Nov 30, 2011

Nov 5, 2013

SMITH, JAMES TODD

FIN-OP, CFO, SROP/CROP, MUNI PRINCIPAL, OPTION PRINCIPAL

yes

03/1997

Nov 30, 2011

Nov 5, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PHILLIPS AND COMPANY ADVISORS LLC

n/a

Independent wealth

$2.7B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Sep 30, 2013

$754M

$104M

n/a

2012

Oct 1, 2012

$530M

$26.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$754M

$530M

42.1%

n/a