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PHILLIPS FINANCIAL
Legal name: PHILLIPS FINANCIAL MANAGEMENT, LLC
CRD 131344File 801-63343
APPROVED
Retail clients
Custody
Filing as of Mar 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.64B
Top 25% of cohort (national)
Discretionary AUM
$2.29B
Non-discretionary $343.9M
Clients
991
3,264 accounts
Employees
32
Top 25% of cohort in IN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jul 23, 2004
- Principal office
- 6920 POINTE INVERNESS WAY, SUITE 230, FORT WAYNE, IN, 46804
- Phone
- 260-420-7732
- Website
- http://www.myphillips.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.64B
- Discretionary AUM
- $2.29B
- Non-discretionary AUM
- $343.9M
- Discretionary accounts
- 3,209
- Non-discretionary accounts
- 55
- Total accounts
- 3,264
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $5.2M |
| Charitable organizations | 10 | $304.9M |
| Other investment advisers | 25 | $73.2M |
| High net worth individuals | 416 | $1.51B |
| Pension and profit sharing plans | 63 | $552.7M |
| Individuals (other than high net worth individuals) | 472 | $195.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 31 | 32 | increased by1 |
| Apr 1, 2026 | Clients | 970 | 991 | increased by21 |
| Apr 1, 2026 | AUM | $2,214,893,239 | $2,636,493,500 | increased by$421,600,261 |
| Apr 1, 2026 | Accounts | 3,084 | 3,264 | increased by180 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 30 | 31 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 787 | 970 | increased by183 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,541,096,879 | $2,214,893,239 | increased by$673,796,360 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,166 | 3,084 | increased by918 |
| Apr 1, 2022 | Employees | 27 | 30 | increased by3 |
| Apr 1, 2022 | Clients | 721 | 787 | increased by66 |
| Apr 1, 2022 | AUM | $1,106,324,913 | $1,541,096,879 | increased by$434,771,966 |
| Apr 1, 2022 | Accounts | 1,996 | 2,166 | increased by170 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PHILLIPS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PHILLIPS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.