Data / Investment advisers / Indiana / Phillips Financial
Phillips Financial, Fort Wayne, IN: $2.6 billion AUM, SEC registered investment adviser
Phillips Financial is an SEC registered investment adviser with its main office in Fort Wayne, Indiana and reports $2.6 billion in regulatory assets under management in its Form ADV filed March 17, 2026. Its clients include high net worth individuals, pension and profit sharing plans and charitable organizations. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 131344
- SEC file number
- 801-63343
- SEC status
- Approved, effective July 23, 2004
- Legal name
- Phillips Financial Management, LLC
- Main office
- 6920 Pointe Inverness Way Suite 230, Fort Wayne, IN 46804
- Phone
- (260) 420-7732
- Regulatory AUM
- $2,636,493,500 in the Form ADV filed March 17, 2026
- Discretionary AUM
- $2,292,594,620
- Non discretionary AUM
- $343,898,880
- Accounts
- 3,264
- Employees
- 32, of which 14 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 17, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 416 | $1.51 billion |
| Pension and profit sharing plans | 63 | $552.7 million |
| Charitable organizations | 10 | $304.9 million |
| Individuals (other than high net worth individuals) | 472 | $195.2 million |
| Other investment advisers | 25 | $73.2 million |
| Corporations or other businesses | 5 | $5.2 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $2.64 billion | March 17, 2026 |
| December 1, 2025 | $2.21 billion | May 1, 2025 |
Other advisers in Fort Wayne
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Wealth Advisors Group | Fort Wayne | $1.34 billion | Not listed | adviserinfo.sec.gov |
| Vestia Personal Wealth Advisors | Fort Wayne | $1.06 billion | Not listed | adviserinfo.sec.gov |
| Galecki Financial Management Inc | Fort Wayne | $929.5 million | Not listed | adviserinfo.sec.gov |
| Howard Bailey Securities, LLC | Fort Wayne | $582.8 million | Not listed | adviserinfo.sec.gov |
| Monarch Capital Management Inc | Fort Wayne | $495.7 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Fort Wayne, IN
- Investment advisers in Indiana
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving pension and profit sharing plans
- Phillips Financial on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.