P
Phoenix Investment
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$54,389,951
This total excludes 91 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
2
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
2
Average account size
$27,194,976
About
Phoenix Investment is a small independent registered investment adviser that provides tailored, non‑discretionary portfolio management and pension consulting to a limited number of clients, including individual investors, corporations, and employee benefit plans. The firm's brochure reports it manages non‑discretionary assets (reported as $34,221,150 as of December 31, 2022) and describes services for both individual accounts and retirement plan clients.
The firm emphasizes non‑discretionary advice, requiring client approval before executing transactions, and typically recommends mutual funds while using a mix of fundamental, technical, and Modern Portfolio Theory analyses to construct portfolios. Its pension consulting work is described as advisory and plan‑level in scope — including plan reviews, fund selection, and ongoing performance monitoring — with the plan sponsor or named fiduciary retaining final decision authority.
What is distinctive is the firm’s affiliation with an actuarial/pension‑administration affiliate (California Actuarial Consultants) and its explicit focus on pension consulting and pension or profit‑sharing plan clients, a service mix that is relatively uncommon for independent advisers of this size. Combined with a very small client base and primarily non‑discretionary arrangements, the firm’s practice leans toward concentrated, consultative relationships rather than broad discretionary portfolio management.
Client services
Portfolio management
Pension consulting
Occupation focus
Founder/Business Owner
Fee options
Flat fees for pension consulting negotiated on a case-by-case basis ranging from 0.25% to 1.50% of plan assets
$1 - $1,000,000: 0.75% $1,000,001 - $5,000,000: 0.5% $5,000,001+: 0.25%
Main office location
Phoenix Investment
111 Deerwood Rd, Ste 325
San Ramon CA 94583, United States
Number of offices
1
Most active in
Phoenix Investment has reported serving >5 clients in these states in the last 12 months.
California · Massachusetts · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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