PHILLIPS FINANCIAL MANAGEMENT, LLC

HTTP://WWW.1PHILLIPS.COM FORT WAYNE, IN Investment Advisor How do I update this listing?

Phillips Financial Management is based out of Fort Wayne. Phillips Financial Management is a large advisory firm with 670 clients and discretionary assets under management (AUM) of $743,423,467 (Form ADV from 2018-11-01). Their last reported 13F filing for Q4 2019 included $609,977,000 in managed 13F securities and a top 10 holdings concentration of 59.2%. Phillips Financial Management's largest holding is iShares Core S&P 500 ETF with shares held of 188,948. Phillips Financial Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 59 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $609.977 Million
  • Prior Market Value $568.706 Million
  • New Purchases3 stocks
  • Additional Purchases43 stocks
  • Sold out of1 stock
  • Reduced holdings in28 stocks
  • Top 10 Holdings % 59.20 %
  • Turnover % [1]:5.13%
  • Turnover Alt % [2]: 3.57 %
  • Time Held Top20:32.00 quarters
  • Time Held Top10:34.50 quarters
  • Time Held All:28.88 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 2.52%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

PHILLIPS FINANCIAL
6920 POINTE INVERNESS WAY SUITE 230
FORT WAYNE IN    46804
Country: United States

Business Phone: 260-420-7732
Fax: 260-420-5553
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: IN
Number of employees: 21
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 692,994,000
Total Number of Clients: 670
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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PHILLIPS FINANCIAL MANAGEMENT, LLC

ownership team - last updated 2019-06-18
Name Title Start Date Direct/Indirect % Ownership
PHILLIPS, RICHARD, LYNN MANAGING MEMBER 07/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
HARDIEK, SHANNON, HICKS MANAGING MEMBER 07/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
BURCH, CHAD, LEE MANAGING MEMBER 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
MILLER, REED, PAUL MANAGING MEMBER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2005-03-01
HEROLD, JEANINE, MARIE MANAGING MEMBER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2008-01-01
MACALEESE, JENNIFER, ANNE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
LANGEL, BEN, JASON MANAGING MEMBER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-01-01

PHILLIPS FINANCIAL MANAGEMENT, LLC

ownership team - last updated 2019-03-20
Name Title Start Date Direct/Indirect % Ownership
PHILLIPS, RICHARD, LYNN MANAGING MEMBER 07/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
HARDIEK, SHANNON, HICKS MANAGING MEMBER 07/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
BURCH, CHAD, LEE MANAGING MEMBER 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
MILLER, REED, PAUL MANAGING MEMBER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2005-03-01
HEROLD, JEANINE, MARIE MANAGING MEMBER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2008-01-01
MACALEESE, JENNIFER, ANNE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01
LANGEL, BEN, JASON MANAGING MEMBER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-01-01

PHILLIPS FINANCIAL MANAGEMENT, LLC

ownership team - last updated 2018-06-12
Name Title Start Date Direct/Indirect % Ownership
PHILLIPS, RICHARD, LYNN MANAGING MEMBER 07/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
HARDIEK, SHANNON, HICKS MANAGING MEMBER 07/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
BURCH, CHAD, LEE MANAGING MEMBER 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-07-01
MILLER, REED, PAUL MANAGING MEMBER 03/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2005-03-01
HEROLD, JEANINE, MARIE MANAGING MEMBER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
PHILLIPS FINANCIAL MANAGEMENT, LLC MANAGING MEMBER direct 2008-01-01
MACALEESE, JENNIFER, ANNE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PHILLIPS FINANCIAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2018-01-01

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