Richard S. Phillips

ERISA ADVISERS

BRENTWOOD, TN 37027

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CRD#: 2194393

Professional summary

Richard Scott Phillips, AIF® is a registered financial advisor currently at ERISA ADVISERS, INC. located in Brentwood, Tennessee.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1992-PRESENT: ERISA PARTNERS, INC./INVESTMENT RELATED/BRENTWOOD, TN/PRESIDENT, CONSULTANT & MAJORITY SHAREHOLDER/PENSION CONSULTANT AND PENSION ADMINISTRATION FIRM/MAY INVOLVE UP TO 50% OF TIME EACH MONTH, INCLUDING DURING WORKING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 24, 2024 - Present

ERISA ADVISERS, INC.

Office #1: 215 Centerview Dr Suite 110, Brentwood, TN 37027

RIA

CRD#: 170487

BRENTWOOD, TN

Past

May 2, 2014 - April 26, 2024

ERISA ADVISERS, INC.

RIA

CRD#: 170487

BRENTWOOD, TN

Past

October 31, 2008 - October 24, 2014

DCM FINANCIAL PARTNERS, LTD.

RIA

CRD#: 117708

BRENTWOOD, TN

Past

January 6, 1992 - August 16, 1994

OSAIC FS, INC.

CRD#: 3870

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ERISA ADVISERS, INC.

DCM FINANCIAL PARTNERS, INC. | ERISA ADVISERS, INC.

CRD#: 170487 / SEC#: 801-130090

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Georgia

Registered Investment Advisory firm - (4/3/2024 Terminated)

Mississippi

Registered Investment Advisory firm - (4/11/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (4/26/2024 Terminated)

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).

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

California
(5/24/2024)

IAR

Florida
(6/7/2024)

IAR

Georgia
(9/5/2024)

IAR

Missouri
(5/24/2024)

IAR

Tennessee
(5/24/2024)

IAR

Texas
(5/24/2024)

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

IAR

Series 65

Date: 8/29/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/27/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ERISA ADVISERS, INC.

DCM FINANCIAL PARTNERS, INC. | ERISA ADVISERS, INC.

CRD#: 170487 / SEC#: 801-130090

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Georgia

Registered Investment Advisory firm - (4/3/2024 Terminated)

Mississippi

Registered Investment Advisory firm - (4/11/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (4/26/2024 Terminated)

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Contact information

Main Address

215 Centerview Dr Suite 110, Brentwood, TN 37027

Mailing Address

Po Box 877, Brentwood, TN 37024

Phone number

(855) 255-2391

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERISA ADVISERS FORM ADV PART 2 - 20250331 (3/29/2025)

CRS - 20250331 (3/29/2025)

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 202,648,296

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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Richard S. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

ERISA ADVISERS, INC.

ERISA ADVISERS, INC.

DCM FINANCIAL PARTNERS, LTD.

OSAIC FS, INC.

Primary Firm SEC Registration

ERISA ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2008

Series 63

Date: 1/10/1992

Series 6

Date: 12/27/1991

Current Firm

ERISA ADVISERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ERISA ADVISERS, INC.

TRUST BUT VERIFY

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