SourcingSourcing

PHILLIP JAMES CONSULTING CO.

C48
CRD 168228·SEC 801-120327·PLYMOUTH, MN
AUM
$222.1M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$666K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PHILLIP JAMES CONSULTING CO.
CRD
168228
SEC file #
801-120327
EIN
273159138
DBA names
Phillip James Financial Co.

Economics

AUM
$222.1M
AUM band
$100M-$500M
AUM trajectory
'22'26
$110.3M → $222.1M▲ +101%
Client mix
Individuals High Net Worth60
Individuals Other54

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'22'26
2 advisors → 2 advisors▬ 0%
Primary office
PLYMOUTH MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
facebook.com/phillipjamesfinancial(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CHRISTENSON, PHILLIP, RICHARD
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
CHRISTENSON, PHILLIP, RICHARD
SEXTON, JAMES, LIONEL
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:phillipjames.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002111830
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-02-23
Edgar Last Filing Date
2026-05-12
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-05-12
Accession0002111830-26-000002

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
3675 PLYMOUTH BOULEVARDSUITE 110PLYMOUTH, MN 55446
Business
3675 PLYMOUTH BOULEVARDSUITE 110PLYMOUTH, MN 55446
Edgar EIN
273159138
Edgar Recent Filings
13F-HR2026-05-12 · 0002111830-26-000002
13F-HR2026-02-23 · 0002111830-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5082883
Trust Company Affiliate
No

People (2)

2
SEXTON, JAMES, LIONEL
IAR · Direct Owner · 62.5%
6213353
CHRISTENSON, PHILLIP, RICHARD
IAR · Direct Owner · 62.5%
5082883