DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

The Phillips Group Advisors

Former SEC-registered adviserWoodland Hills, CaliforniaCRD 151662SEC 801-70696IAPD
Legal name Tpg Advisors LLC
Latest filing Aug 9, 2016
First filing on the tape Feb 17, 2012 · 15 filings
RAUM
$185M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$185M as of Feb 22, 2016
Feb 17, 2012$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 22, 2016
Feb 17, 20120 then
Employees (5.A)6 as of Feb 22, 2016
Jan 15, 20135 then
Private funds: no history
RAUM -16% over the last fiscal year+7.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 9, 2016; every figure names its basis
RAUM per advisor
$46.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$209,040derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
885reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael Larry Phillips · Managing Member And Chief Compliance Officercontrol
      since 11/2009 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 852 to 885
      May 1, 2015 to Feb 22, 2016
    • Advisory employees · 3 to 4
      May 1, 2015 to Feb 22, 2016
    • Employees · 4 to 6
      May 1, 2015 to Feb 22, 2016
    • Discretionary RAUM · $197M to $180M
      May 1, 2015 to Feb 22, 2016
    • Non-discretionary RAUM · $23.0M to $5.0M
      May 1, 2015 to Feb 22, 2016
    • RAUM · $220M to $185M
      May 1, 2015 to Feb 22, 2016
    • Accounts · 813 to 852
      Apr 29, 2014 to Feb 12, 2015
    • Employees · 5 to 4
      Apr 29, 2014 to Feb 12, 2015
    • State-registered IARs · 3 to 4
      Apr 29, 2014 to Feb 12, 2015
    • Discretionary RAUM · $150M to $197M
      Apr 29, 2014 to Feb 12, 2015
    • Non-discretionary RAUM · $11.0M to $23.0M
      Apr 29, 2014 to Feb 12, 2015
    • RAUM · $161M to $220M
      Apr 29, 2014 to Feb 12, 2015
    • Accounts · 740 to 813
      Jan 15, 2013 to Feb 8, 2014
    • Discretionary RAUM · $120M to $150M
      Jan 15, 2013 to Feb 8, 2014
    • Non-discretionary RAUM · $30.0M to $11.0M
      Jan 15, 2013 to Feb 8, 2014
    • RAUM · $150M to $161M
      Jan 15, 2013 to Feb 8, 2014
    • Accounts · 750 to 740
      Oct 16, 2012 to Jan 15, 2013
    • Advisory employees · unset to 3.0
      Oct 16, 2012 to Jan 15, 2013
    • BD registered reps · unset to 3.0
      Oct 16, 2012 to Jan 15, 2013
    • Employees · unset to 5.0
      Oct 16, 2012 to Jan 15, 2013
    • State-registered IARs · 0 to 3
      Oct 16, 2012 to Jan 15, 2013
    • Discretionary RAUM · $105M to $120M
      Oct 16, 2012 to Jan 15, 2013
    • Non-discretionary RAUM · $25.0M to $30.0M
      Oct 16, 2012 to Jan 15, 2013
    • RAUM · $130M to $150M
      Oct 16, 2012 to Jan 15, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026