Phillips Financial Management
advisor9 known aliases resolved via the canonical alias map
Market position · 2024
Plans served13+3 YoYRank #1408 of mapped providers
Assets under administration$6.1B0.0%Market share · rank #1676
Fees received$406,569Median $9,351/planSum across Schedule C direct + indirect
Net wins YoY+22 won · 0 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical Phillips Financial Management plan look like?
Service mix · median fees per plan
Count of plans where Phillips Financial Management ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment advisory (plan); Investment advisory (participants)Code 26 | 6 | $9,019 | |
Investment advisory (plan)Code 27 | 6 | $24,238 | |
Other feesCode 99 | 1 | $53,691 |
Competitor overlap
Percent of Phillips Financial Management's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under Phillips Financial Management.
| Sponsor | From | Assets |
|---|---|---|
INDIANA UNIVERSITY HEALTH INC.IN · 351955872-005 | Empower | $4.5B |
ENPRO INC.NC · 010573945-004 | Leavitt Christensen & Co PLLC | $373M |
Plans lost in 2024
Appeared last year under Phillips Financial Management; not this year.
| Sponsor | To | Assets |
|---|
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
INDIANA UNIVERSITY HEALTH INC.IN · 351955872-005 | $4.5B | 51,880 | $8,499 | 1y | - |
BARNES & THORNBURG LLPIN · 350900596-002 | $754M | 1,916 | $9,351 | 7y | - |
ENPRO INC.NC · 010573945-004 | $373M | 3,656 | $5,578 | 1y | 2 |
NIBE ENERGY SYSTEMS, INC.IN · 990368191-001 | $157M | 3,623 | $161,255 | 8y | - |
EASTERN RADIOLOGISTS, INC.NC · 560994806-003 | $132M | 269 | $8,820 | 3y | - |
C & A TOOL ENGINEERING, INC.IN · 351413147-001 | $45M | 633 | $30,677 | 10y | - |
FORT WAYNE MEDICAL ONCOLOGY AND HEMATOLOGY, INC.IN · 351400631-001 | $38M | 227 | $1,893 | 4y | - |
EAR, NOSE & THROAT ASSOCIATES, P.C.IN · 351086214-001 | $31M | 211 | $34,043 | 3y | - |
MICROPULSE, INC.IN · 351861872-001 | $29M | 613 | $59,413 | 8y | 1 |
LH CARBIDE TOOL & DIE CORPORATIONIN · 351138811-001 | $22M | 306 | $53,691 | 10y | - |
Flag exposure
61.5%Market: 89.1%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (9)
Raw Schedule C names collapsed into Phillips Financial Management.
- GOLDMAN SACHS ASSETS MANAGEMENT
- GOLDMAN SACHS ASSETS MANAGEMENT, LP
- PHILLIPS FINANCIAL
- PHILLIPS FINANCIAL MANAGEMENT
- PHILLIPS FINANCIAL MANAGEMENT LLC
- PHILLIPS FINANCIAL MANAGEMENT LLC/C
- PHILLIPS FINANCIAL MANAGEMENT, LLC
- PHILLIPS FINANCIAL MGMT
- PHILLIPS FINANCIAL MGNT LLC
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for Phillips Financial Management's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 3 | 23.08% | 1.71% | +21.36 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 1 | 7.69% | 1.76% | +5.93 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with Phillips Financial Management. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent
Frequent partners by role
Who else shows up on Phillips Financial Management's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Baden Gage & Schroeder LLC | 1 | 7.7% |
| GreerWalker LLP | 1 | 7.7% |
| Hagen, Kurth, Perman & Co., P.S. | 1 | 7.7% |
| KCOE ISOM LLP | 1 | 7.7% |
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).