Brian M. Phillips

PHILLIPS RAY CAPITAL MANAGEMENT

Fort Worth, TX 76107

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CRD#: 1703035

Professional summary

Brian Michael Phillips, who also goes by Brian Phillips, is a registered financial advisor currently at PHILLIPS RAY CAPITAL MANAGEMENT, INC. located in Fort Worth, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Phillips

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Phillips's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 18, 2023 - Present

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

Office #1: 2727 W 7th Street Suite 220, Fort Worth, TX 76107

RIA

CRD#: 114408

Fort Worth, TX

Past

April 12, 1996 - April 12, 2022

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

RIA

CRD#: 114408

Fort Worth, TX

Past

October 24, 1994 - May 6, 1996

R. H. YORK & COMPANY, INC.

CRD#: 30099

COVINGTON, KY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(8/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1994

General Securities Representative Examination

Current Firm

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

BMP CAPITAL MANAGAEMENT | PHILLIPS RAY CAPITAL MANAGEMENT, INC. | BRIAN MICHAEL PHILLIPS

CRD#: 114408 / SEC#: 801-123668

RIA

Registered Investment Advisory firm - (8/25/2025 Terminated)

California

Registered Investment Advisory firm - (7/26/2002 Terminated)

Texas

Registered Investment Advisory firm - (8/12/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2727 W 7th Street Suite 220, Fort Worth, TX 76107

Mailing Address

Phone number

(817) 338-4223

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PHILLIPS RAY ADV PART 2A MARCH 2025 (7/14/2025)

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 59,464,991

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian M. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

R. H. YORK & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1994

Series 7

Date: 10/21/1994

Current Firm

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHILLIPS RAY CAPITAL MANAGEMENT, INC.

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