Phillip E. Enochs

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Chicago, IL 60606

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CRD#: 2860098

Professional summary

Phillip Edward Enochs, who also goes by Phil Enochs, is a registered financial advisor currently at DUFF & PHELPS INVESTMENT MANAGEMENT CO. located in Chicago, Illinois and VP DISTRIBUTORS LLC located in Chicago, Illinois.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Phillip has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Enochs

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.

(1) GCND, LLC; Investment related; South Bend, IN 46617; Real estate related; Director; Started 4/2020; Approx. 1hr/mo; Not during trading hrs; Manage and monitor rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Edward Enochs'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

June 25, 2024 - Present

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

RIA

CRD#: 107296

Chicago, IL

Current

June 17, 2024 - Present

VP DISTRIBUTORS LLC

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

CRD#: 3036

Chicago, IL

Past

September 8, 2021 - April 10, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Illinois
(6/25/2024)

Illinois
(7/2/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/28/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/2/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

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Contact information

Main Address

10 S. Wacker Drive 19th Floor, Chicago, IL 60606

Mailing Address

Phone number

(312) 263-2610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DPIM ADV PART2A 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 12,227,914,131

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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Firm Stability Insights

Phillip E. Enochs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Edward Enochs's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

FORESIDE FUND SERVICES, LLC

BMO INVESTMENT DISTRIBUTORS, LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

M&I FINANCIAL ADVISORS, INC

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2020

Series 65

Date: 12/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/12/1997

Series 24

Date: 12/2/1998

FINRA

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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