Phillip James Financial Co
Answer a few questions and
get matched with an advisor.
Learn more about Phillip James Financial Co
Overview
Phillip James Financial Co operates as a financial advisory firm that has its headquarters in Minneapolis, Minnesota. The firm administers $62.3 million in assets over 463 client accounts. The company has a small group of four employees, including two financial advisors. Phillip James Financial Co does not act as a registered broker-dealer, signifying that it cannot buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments such as equities, options and bonds.
Phillip James Financial Co administers all of its accounts on a discretionary basis. Discretionary management is a structure in which a portfolio manager has the discretion to make transaction judgments without requiring client consent. The advisory firm's average account size is $134,648. The average advisor at Phillip James Financial Co administers around 232 client accounts.
Phillip James Financial Co's headquarters is located at 3675 Plymouth Boulevard, Minneapolis, Minnesota 55446. The firm is legally allowed to provide services to investors in the state of Minnesota.
Number of Advisors
Disclosures
Office Location
Phillip James Financial Co by the Numbers

4

463

$134.6 thousand
Find a dedicated advisor for your needs
Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.
Products and Services
Financial services that Phillip James Financial Co offers can include financial planning services and portfolio management for individuals and small businesses. In the past financial year, Phillip James Financial Co provided financial planning services to 51-100 of its clients. Phillip James Financial Co is involved in selling products or offering services apart from investment advisory services to its customers.
Core Advisor Services
-
Offered by 45% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
-
Offered by 63% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
-
Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
-
Find a firm that offers this service
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
-
Find a firm that offers this service
Publication of Periodicals
This is the publication of various financial education materials.
-
Find a firm that offers this service
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial advisory fees usually vary depending on which services the firm provides the client. However, fee types charged by the firm likely consist of the following fee types: asset-based or fixed. The firm does not participate in a wrap fee program, in which the company offers a bundle of services for a single fee. It can withdraw its expenses directly from customer accounts.
Available
-
Offered by 75% of firms
Percentage of Assets
-
Offered by 40% of firms
Fixed
Unavailable
-
Find one of the 37% of firms that offer this fee type
Hourly
-
Find one of the 3% of firms that offer this fee type
Commissions
-
Find one of the 17% of firms that offer this fee type
Performance-based
-
Find one of the 1% of firms that offer this fee type
Subscription
-
Find one of the 12% of firms that offer this fee type
Other
Types of Clients
The firm works with retail investors and high net worth investors. Out of its 463 clients, Phillip James Financial Co's largest client group by number of accounts is retail investors, although it also caters to 17 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts reside abroad.
- High-Net-Worth Individuals* - 17.35%
- Other Individuals - 82.65%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
Find an advisor who will work directly with you
Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.
Disclosures
Phillip James Financial Co does not have any disclosures.
Please visit its Form ADV for more details.
Find a financial advisor near you
If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.