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.
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SEC-registered adviser
P••••••• A•• C•••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 6, 2013 · 24 filings
SEC status approved since Oct 31, 2011
RAUM
$2.7B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
70%
$1.9B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
19
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.7B as of Mar 26, 2026
Sep 30, 2013$754M then
HNW client RAUM$1.6B as of Mar 26, 2026
Mar 30, 2018$540M then
State-registered IARs (5.B.3)13 as of Mar 26, 2026
Sep 30, 201320 then
Employees (5.A)19 as of Mar 26, 2026
Sep 30, 201321 then
Private funds: no history
RAUM +17% over the last fiscal year+32% a year over threeIARs 14 to 13
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $996,249derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $365MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B61%
- Pension and profit-sharing plans$604M23%
- Individuals$240M9.0%
- Charitable organizations$109M4.1%
- Corporations and businesses$98.8M3.7%
- Individual clients
- 934reported
- HNW clients
- 176reported
- Pension plan clients
- 134reported
- Charitable clients
- 10reported
- Accounts
- 2,675reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••• H•••• | Portland, Or | Nov 6, 2013 | 27 y | 1 |
| M•••••• F•••• G••••••• | Portland, Or | Nov 6, 2013 | 31 y | 1 |
| C••• J•••• P••••• | Portland, Or | Dec 12, 2013 | 27 y | 1 |
| S•••• A•••• N••• | Portland, Or | Dec 12, 2013 | 22 y | 2 |
| T•••••• C•••••• P••••••• | Portland, Or | Dec 12, 2013 | 39 y | 1 |
| M•••••• M••••• S•••••• | Portland, Or | Dec 12, 2013 | 30 y | 1 |
| M••• T•••••• L••••• | Portland, Or | Dec 12, 2013 | 29 y | 1 |
| G••••• E••• M•••••••• | Portland, Or | Jan 2, 2014 | 32 y | 1 |
| T••••• S•••• E•••••• | Portland, Or | Jan 2, 2014 | 31 y | 2 |
| J•••• T••• S•••• | Portland, Or | Jan 3, 2017 | 32 y | 1 |
| G••••• J••••• M••••Chartered Financial Analyst | Portland, Or | Jan 3, 2022 | 22 y | 1 |
| K•••••• L•••• T•••• H••••• | Portland, Or | Sep 19, 2023 | 12 y | 1 |
| C•••••••• G••• | Portland, Or | Feb 13, 2025 | 12 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- D••••• C•••••••• C•••••• to E••••• J••••Mar 6, 2025 · RIA to affiliated broker-dealer or bank
- S•••• J••••••• C••••• to A••••••••• F•••••••• S•••••••• L••Feb 16, 2016 · Other
- A••• T•••• H••••• to L•• F•••••••• L••Apr 30, 2015 · Other
Joined, latest
- C•••••••• G••• from M• H••••••• S••••••••• I•••Feb 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••••• L•••• T•••• H••••• from A•••• I••••••••• A•••••••• L••Sep 19, 2023 · RIA to RIA
- G••••• J••••• M•••• from G••••••••• I••••••••• M••••••••• L••Jan 3, 2022 · Other
- J•••• T••• S•••• from P••••••• • C••••••Jan 3, 2017 · Other
- D••••• C•••••••• C•••••• from E•••••• C•••••• M••••••••• L••Jul 10, 2014 · Other
- G••••• E••• M•••••••• from P••••••• • C••••••Jan 2, 2014 · Other
- T••••• S•••• E•••••• from W•••• F•••• I••••••••• L••Jan 2, 2014 · Other
- S•••• A•••• N••• from P••••••• • C••••••Dec 12, 2013 · Other
- M•••••• M••••• S•••••• from P••••••• • C••••••Dec 12, 2013 · Other
- M••• T•••••• L••••• from P••••••• • C••••••Dec 12, 2013 · Other
- T•••••• C•••••• P••••••• from P••••••• • C••••••Dec 12, 2013 · Other
- C••• J•••• P••••• from P••••••• • C••••••Dec 12, 2013 · Other
- M•••••• F•••• G••••••• from P••••••• • C••••••Nov 6, 2013 · Other
- S•••• J••••••• C••••• from P••••••• • C••••••Nov 6, 2013 · Other
- A••• T•••• H••••• from P••••••• • C••••••Nov 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• T••••••• C•••••• · Ceocontrolsince 02/1992 · owns 75% or more
- S••••• J••••• T••• · Cfo, Ccocontrolsince 03/1997 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list P••••••• A•• C•••••• A••••••• L•• as a related person
- 35800 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 13 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 1,525.0 to 2,675.0 (+75.0%) between the annual amendments of 2025-04-01 and 2026-03-26; the peer median change was +6.0% (1206 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 95% percentile
- affiliate changedChange between filings · filing Mar 26, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-05-05, no on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- compensation changedChange between filings · filing Mar 26, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-05-05, no on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,525 to 2,675May 5, 2025 to Mar 26, 2026
- Advisory employees · 14 to 13May 5, 2025 to Mar 26, 2026
- Advisory activities · 7 to 6May 5, 2025 to Mar 26, 2026
- Corporate clients · 20 to 19May 5, 2025 to Mar 26, 2026
- HNW clients · 65 to 176May 5, 2025 to Mar 26, 2026
- Individual clients · 1,295 to 934May 5, 2025 to Mar 26, 2026
- Pension plan clients · 135 to 134May 5, 2025 to Mar 26, 2026
- Employees · 21 to 19May 5, 2025 to Mar 26, 2026
- State-registered IARs · 14 to 13May 5, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.1B to $1.2BMay 5, 2025 to Mar 26, 2026
- HNW RAUM · $1.3B to $1.6BMay 5, 2025 to Mar 26, 2026
- Individual RAUM · $322M to $240MMay 5, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.2B to $1.5BMay 5, 2025 to Mar 26, 2026
- Pension RAUM · $478M to $604MMay 5, 2025 to Mar 26, 2026
- RAUM · $2.3B to $2.7BMay 5, 2025 to Mar 26, 2026
- Related broker-dealer · true to falseMay 5, 2025 to Mar 26, 2026
- Financial planning clients · 251-500 to 251-500Apr 1, 2025 to May 5, 2025
- Accounts · 1,384 to 1,525Dec 26, 2024 to Apr 1, 2025
- Advisory employees · 15 to 14Dec 26, 2024 to Apr 1, 2025
- BD registered reps · 14 to 0Dec 26, 2024 to Apr 1, 2025
- HNW clients · 60 to 65Dec 26, 2024 to Apr 1, 2025
- Individual clients · 901 to 1,295Dec 26, 2024 to Apr 1, 2025
- Pension plan clients · 134 to 135Dec 26, 2024 to Apr 1, 2025
- Employees · 22 to 21Dec 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $193M to $1.1BDec 26, 2024 to Apr 1, 2025
- HNW RAUM · $646M to $1.3BDec 26, 2024 to Apr 1, 2025
- Individual RAUM · $96.5M to $322MDec 26, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.2B to $1.2BDec 26, 2024 to Apr 1, 2025
- Pension RAUM · $568M to $478MDec 26, 2024 to Apr 1, 2025
- RAUM · $1.4B to $2.3BDec 26, 2024 to Apr 1, 2025
- Accounts · 1,211 to 1,384Mar 31, 2023 to Mar 31, 2024
- Advisory employees · 14 to 15Mar 31, 2023 to Mar 31, 2024
- HNW clients · 54 to 60Mar 31, 2023 to Mar 31, 2024
- Individual clients · 857 to 901Mar 31, 2023 to Mar 31, 2024
- Pension plan clients · 139 to 134Mar 31, 2023 to Mar 31, 2024
- Employees · 21 to 22Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $147M to $193MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $536M to $646MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $78.7M to $96.5MMar 31, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $1.0B to $1.2BMar 31, 2023 to Mar 31, 2024
Signals
2 dated events
- P••••••• A•• C•••••• A••••••• L•• reported RAUM $2.3B, up 61% from $1.4B (2024-12-26 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- D••••• C•••••••• C•••••• left P••••••• A•• C•••••• A••••••• L•• for E••••• J•••• (registered 2025-02-28)Mar 6, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 503-224-0858reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/phillipsandcompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-224-0858reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- phillipsandco.com/get-in-touchreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- phillipsandco.com/who-we-are/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026