Phase Line Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,310,000
Clients
21
19% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
21
TypicalAverage account size
$348,095
About
Phase Line Financial provides investment advisory and portfolio management services to a small roster of clients, reporting roughly $7.31 million in regulatory assets under management across 21 clients. The firm’s disclosures indicate it does not serve non-high-net-worth retail individuals, implying its client focus is on higher-net-worth households or similar client segments.
The firm generally assesses fees as a percentage of assets under management and offers portfolio management and planning services typical of independent advisers. Uncommonly for a firm of this size, it is a sponsor of a wrap-fee program, which bundles advisory services and trading costs into a single account arrangement.
Phase Line operates by appointment and maintains a compact practice that concentrates services on a limited client base rather than broad retail outreach. The combination of limited scale, a client roster excluding non-HNW retail individuals, and sponsorship of a wrap program distinguishes its business model from many independent peers.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Business ownership considerations
Tax strategies for small businesses
Business exit / sale strategy
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Main office location
Phase Line Financial
Cincinnati OH, United States
Number of offices
1
Most active in
Phase Line Financial has reported serving >5 clients in these states in the last 12 months.
Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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