Duncan Bowie

PHILLIPS FINANCIAL

Fort Wayne, IN 46804

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CRD#: 7488666

Professional summary

Duncan Bowie is a registered financial advisor currently at PHILLIPS FINANCIAL located in Fort Wayne, Indiana.

Duncan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Duncan has worked at 2 firms and has passed the Series 63, Series 65 and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duncan Bowie'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

April 2, 2024 - Present

PHILLIPS FINANCIAL

Office #1: 6920 Pointe Inverness Way Suite 230, Fort Wayne, IN 46804

RIA

CRD#: 131344

Fort Wayne, IN

Past

January 7, 2022 - January 2, 2024

CX INSTITUTIONAL, LLC

RIA

CRD#: 292627

AUBURN, IN

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".

PHILLIPS FINANCIAL

PHILLIPS FINANCIAL | PHILLIPS FINANCIAL SERVICES | PHILLIPS FINANCIAL MANAGEMENT, LLC

CRD#: 131344 / SEC#: 801-63343

RIA

Registered Investment Advisory firm - (7/23/2004 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(4/2/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 9/25/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/17/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/17/2020

Securities Industry Essentials Examination

Current Firm

PHILLIPS FINANCIAL

PHILLIPS FINANCIAL | PHILLIPS FINANCIAL SERVICES | PHILLIPS FINANCIAL MANAGEMENT, LLC

CRD#: 131344 / SEC#: 801-63343

RIA

Registered Investment Advisory firm - (7/23/2004 Approved)

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Contact information

Main Address

6920 Pointe Inverness Way Suite 230, Fort Wayne, IN 46804

Mailing Address

Phone number

(260) 420-7732

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	3,084
AUM (Assets Under Management)	$ 2,214,893,239

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
11/27/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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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Duncan Bowie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duncan Bowie's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHILLIPS FINANCIAL

CX INSTITUTIONAL, LLC

Primary Firm SEC Registration

PHILLIPS FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/2020

Series 65

Date: 8/17/2020

SIE

Date: 8/17/2020

Current Firm

PHILLIPS FINANCIAL

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PHILLIPS FINANCIAL

TRUST BUT VERIFY

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