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PGI WEALTH MANAGEMENT
Legal name: PHILIP JAMES WEALTH MANAGEMENT, LLC
CRD 297517File 801-119808
APPROVED
Retail clients
Custody
Filing as of May 11, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$930.6M
Above cohort median (national)
Discretionary AUM
$926.1M
Non-discretionary $4.5M
Clients
497
1,235 accounts
Employees
9
Above cohort median in GA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Nov 13, 2020
- Principal office
- 13680 HIGHWAY 9, SUITE C100, ALPHARETTA, GA, 30004
- Phone
- (888) 493-9022
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $930.6M
- Discretionary AUM
- $926.1M
- Non-discretionary AUM
- $4.5M
- Discretionary accounts
- 1,218
- Non-discretionary accounts
- 17
- Total accounts
- 1,235
- AUM per client
- $1.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $44.0M |
| High net worth individuals | 193 | $806.6M |
| Individuals (other than high net worth individuals) | 304 | $80.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- 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 | 10 | 9 | decreased by1 |
| Apr 1, 2026 | Clients | 584 | 497 | decreased by87 |
| Apr 1, 2026 | AUM | $932,031,197 | $930,625,185 | decreased by$1,406,012 |
| Apr 1, 2026 | Accounts | 1,519 | 1,235 | decreased by284 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 10 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 361 | 584 | increased by223 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $292,654,956 | $932,031,197 | increased by$639,376,241 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 959 | 1,519 | increased by560 |
| Apr 1, 2022 | Clients | 268 | 361 | increased by93 |
| Apr 1, 2022 | AUM | $220,645,644 | $292,654,956 | increased by$72,009,312 |
| Apr 1, 2022 | Accounts | 640 | 959 | increased by319 |
| 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 “PGI WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PGI WEALTH” 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.