James Smith is a registered investment advisor at Phillips and Company Advisors LLC, based in Portland, OR, with 37 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 1,525 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 1.95% |
| $2.0M - $3.0M | 1.40% |
| $3.0M - $5.0M | 1.25% |
| $5M+ | 1.05% |
Fees are negotiable. Some accounts will be charged 10% of the growth in the account balance.
Fee Estimator
Location
521 SW 11th Avenue, Suite 200, Portland, OR, 97205
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James is a compliance officer at Phillips & Co. Securities, Inc. since 1994. He is also a member of Riverlab LLC, providing administrative services to family offices for about 10-20% of his time.
Employment History
Current Registrations
Phillips and Company Advisors LLC
Previous Registrations
Phillips & Company
Willamette Securities, INC.Broker
Phillips & CompanyBroker
Baraban Securities, INC.Broker
State Registrations10 states
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