Falists
← Back to search

ONLYFUNDS

PHILLIPS CAPITAL, LLC

CRD 312403 · SEC 801-120281

Advisory firmLLC

Independent or team-based registered investment adviser — LLC, partnership, or sole proprietorship.

Visit website

NY, United States

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$314K

Discretionary AUM

$314K

Team

1 total employees; 1 advisory reps; 12 broker-dealer reps

Clients

—

Fees

Percentage of AUM

Org form

Limited Liability Company

Filing date

2026-02-07

Disciplinary history

No

Verify reputation

Falists does not score or rank advisers. Use these official sources to check BBB ratings, FINRA disclosures, and SEC registration before hiring anyone.

  • SEC IAPD →

    Investment Adviser Public Disclosure — Form ADV filings, disciplinary history, and registration details from the SEC.

  • FINRA BrokerCheck →

    FINRA’s BrokerCheck database — firm registration, disclosures, and regulatory actions when applicable.

  • Better Business Bureau →

    Search BBB for business ratings, accreditation status, and consumer complaints in this firm’s market.

Services

Portfolio management (individuals)

Client types

TypeClientsAUM
Individuals12$314K

States served

NY

All web addresses on file

Official SEC filing: View on IAPD