SourcingSourcing

PHILLIPS FINANCIAL MANAGEMENT, LLC

C48
CRD 131344·SEC 801-63343·FORT WAYNE, IN
AUM
$2.64B
$1B+
Est. Revenue
$26.4M
@ 1% on AUM
Est. EBITDA
$7.9M
@ 30% margin
Est. Deal Value
$63.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PHILLIPS FINANCIAL MANAGEMENT, LLC
CRD
131344
SEC file #
801-63343
EIN
201131890
DBA names
Phillips Financial

Economics

AUM
$2.64B
AUM band
$1B+
AUM trajectory
'20'26
$915.6M → $2.64B▲ +188%
Client mix
Individuals Other472
Individuals High Net Worth416
Pension Profit Sharing Plans63
Other Investment Advisers25
Charitable Organizations10

Operations

Employees (total)
32
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
13 advisors → 14 advisors▲ +8%
Primary office
FORT WAYNE IN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwabmedium confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/17/2026
ADV-W filed at
—
Website
linkedin.com/in/rickphillipsfinancial(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PHILLIPS, RICHARD, LYNN
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
8
Control Persons
PHILLIPS, RICHARD, LYNN
LANGEL, BEN, JASON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:phillips.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
12
Form 5500 Total Compensation
342,606
Form 5500 Compensation Trajectory 3y
2025342,606
Form 5500 Plan Count Trajectory 3y
202512
Schedule C Total Compensation
342,606
Schedule C Service Provider Rows
12

SEC EDGAR

Edgar Cik
0001350660
Edgar Registered
Yes
Edgar Filing Count
86
Edgar First Filing Date
2006-02-08
Edgar Last Filing Date
2026-04-16
Edgar 13f Count
84
Edgar 13f Latest AUM Estimate
Filing Date2026-04-16
Accession0001398344-26-006583

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
15
Bc Firm IAR Count
15
Custodian Candidates
Window
Charles Schwab2
Fidelity1
Full
E*trade4
Fidelity3
Charles Schwab2
Edgar Addresses
Mailing
6920 POINTE INVERNESS WAYSUITE 230FORT WAYNE, IN 46804
Business
6920 POINTE INVERNESS WAYSUITE 230FORT WAYNE, IN 46804
Edgar EIN
201131890
Edgar Recent Filings
13F-HR2026-04-16 · 0001398344-26-006583
13F-HR2026-01-26 · 0001398344-26-001240
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
705499
Trust Company Affiliate
No

People (17)

17
PHILLIPS, RICHARD, LYNN
IAR · Direct Owner · 37.5%
705499
LANGEL, BEN, JASON
IAR · Direct Owner · 17.5%
6436952
BURCH, CHAD, LEE
IAR · Direct Owner · 7.5%
1867503
MARTIN, ERIN, ELIZABETH
IAR · Executive Officer · 2.5%
5117772
MACALEESE, JENNIFER, ANNE
IAR · Executive Officer · 2.5%
5978797
BOXELL, KRYSTAL, LYNN
Executive Officer · 2.5%
8086669
GERBER, BRANT, W
Executive Officer · 2.5%
7346720
David Michael Hamel
IAR
7217227
BENJAMIN ADAM BATT
IAR
6437003
Hunter Christian Terrell
IAR
8030616
Riley William Reimschisel
IAR
6931387
ANDREW WILLIAM PARKER
IAR
5632497
Brendan Michael Ryan
IAR
8247400
McKenna Elizabeth Clifford
IAR
7283078
Duncan Bowie
IAR
7488666
Abhi Hemant Jinwala
IAR
7580039
Marisa Beth Meadows
IAR
7101021