Advisor at Phillips and Company Advisors LLC
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Firm
Phillips and Company Advisors LLC
Location
Portland, OR 97205
Credentials
Series 63, Series 65
Industry experience
37 years
James Smith is a financial advisor with Phillips and Company Advisors LLC in Portland, OR, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has worked at Phillips and Company Advisors LLC since 2013 and previously spent 31 years with Phillips & Company Securities Inc. Outside of advising, he is a member of Riverlab LLC, a company providing administrative services to family offices. Phillips and Company Advisors offers investment advisory services to individuals, high-net-worth clients, trusts, estates, corporations, and retirement plan sponsors. The firm employs a variety of investment strategies through its investment committee and third-party portfolio managers, utilizing ETFs, mutual funds, equities, fixed income, and tax-aware asset allocation models.
Based on Phillips and Company Advisors LLC
Based on Phillips and Company Advisors LLC
< $2,000,000 - $2,000,000: 1.95% (195 basis points) $2,000,000 - $3,000,000: 1.40% (140 basis points) $3,000,000 - $5,000,000: 1.25% (125 basis points) > $5,000,000+: 1.05% (105 basis points)
10% performance-based incentive fee on net gains for Thematic SMA program; 10% performance fee on growth over high-water mark for other accounts
Account minimum: $50,000 to $100,000 depending on the Thematic SMA program selected Fee-only: Negotiable percentage of assets under management, typically as per fee tiers above
521 Sw 11 Th Avenue, Suite 200
Portland, OR 97205
Arizona · California · Idaho · Illinois · Missouri · Montana · Nevada · Ohio · Oregon · Washington
Phillips and Company Advisors LLC
2013 - Present (13 years)
Phillips & Company Securities Inc.
1994 - 2025 (31 years)
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Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
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Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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