Phh Investments, Ltd. (Addison)


Phh Investments, Ltd. is a large advisory firm based in Addison. It manages $2.56 billion of regulatory assets for 6,353 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 43 other states.

Phh Investments provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for approximately 3,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Phh Investments: assets under management

The assets under management (AUM) of Phh Investments, Ltd. is $2.56 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 173% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.56 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $402.37 thousand each.
Phh Investments has custody of $197.02 million in cash and securities for 432 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 84% of the total AUM. The second-largest asset type is exchange traded securities, which make up 13% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Phh Investments, Ltd. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ronald Ellis Simmons serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Ronald Ellis Simmons is high net worth individuals with 1,011 clients and $1.66 billion of assets under management. Among the 8 most similar advisory firms, Phh Investments has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $2.56 billion for 3,198 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Phh Investments doesn't advise any private funds.

Careers at Phh Investments, Ltd.

The company employs 94 people that are either part- or full-time employees. 88 percent of the employees work as investment advisers or researchers. 83 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Ronald Ellis Simmons has been acting as President since 1 Jan 2007. Jeffrey Alan Baumert joined the executive team most recently as the Chief Operations Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Conduit Shareholder 1 Oct 2000 75% - 100% 59-3689165
Anthony Desantis Director & evp 1 Jan 2001 Other 2476888
John Barton Roberson Director 1 Apr 2001 Other 1141521
Clayton Caldwell Vice president 1 Jun 2002 Other 2234647
Llc Conduit Shareholder 1 Sep 2003 75% - 100% 59-3689165
Tex Braden Grubbs Chief compliance officer 1 Jan 2005 Other 4407939
Jeremy Wayne Merchant Vice president, co-chief investment officer,class a lp 1 Oct 2005 Other 4179037
William Fields Hubble Director, chairman, cio 1 Jan 2006 25% - 50% 838300
John Kevin Dolan Director 1 Jan 2006 Other 1535765
Ronald Ellis Simmons Director-ceo, president 1 Jan 2006 25% - 50% 2143052
Llc Phh Investment Management General partner 1 Feb 2006 Other 37-1522127
L.L.C. Phh Investment Management General partner 1 Feb 2006 Other 37-1522127
Llc (Class A Lp) Jbr Swish Shareholder 1 Mar 2006 Other 51-0591401
Llc Jbr Swish Class a lp 1 Mar 2006 Other 51-0591401
Phh Acquisition Shareholder 1 Mar 2006 Other 13-4323803
Jbr Swish Shareholder 1 Mar 2006 Other 51-0591401
William Fields Hubble Co-chief investment officer 1 Jan 2007 Other 838300
Ronald Ellis Simmons Chairman 1 Jan 2007 Other 2143052
John Barton Roberson Ceo 1 Jan 2007 Other 1141521
Anthony Desantis Director 1 Jan 2007 Other 2476888
Westwind Holdings Llc Shareholder, class a lp 1 Apr 2008 Other 72-1534429
J M Trust Trustee, class a lp 1 Apr 2008 Other 99-9999999
Kenneth Harold Mills Vice president, class a lp 1 Apr 2008 Other 2234444
Powerfade Management Shareholder 1 Apr 2008 Other 84-1628178
Westwind Holdings Lp Shareholder 1 Apr 2008 Other 72-1534429
Ltd. Balcony Family Partners Shareholder 1 Apr 2008 Other 26-2298837
John Bentley Executive vice president 1 May 2010 Other 5561326
Llc 2011 Phh Equity Conduit Shareholder, class a lp 1 Jan 2011 Other 46-1290613
Llc 2012 Phh Equity Conduit Shareholder, lp 1 Jan 2012 Other 46-1297420
John Clifton Bentley President 1 Dec 2013 Other 5561326
Llc Rb 2013 Conduit Shareholder, class a lp 1 Dec 2013 Other 46-4481665
John Bentley President 1 Dec 2013 Other 5561326
Llc 2014 Phh Equity Conduit Shareholder, lp 1 Jan 2014 Other 46-3483126
Gary Jay Krasnov Chief compliance officer 1 Jul 2016 Other 5822967
Jeffrey Alan Baumert Chief operations officer 1 Jan 2017 Other 4670576

Indirect Owners

The SEC currently registers 33 indirect owners.

Name Entity Date acquired Ownership Employer ID
National Bank Group Inc. Shareholder 1 Sep 1999 75% - 100% foreign
National Bank Financial & Co. Inc. Shareholder 1 Jan 2000 75% - 100% foreign
Ronald Ellis Simmons Partner 1 Sep 2003 25% - 50% 2143052
Powerfade Management Shareholder 1 Sep 2003 25% - 50% 84-1628178
National Bank Financial Inc. Shareholder 1 Dec 2003 75% - 100% foreign
Inc. Nbf International Holdings Shareholder 1 Sep 2004 25% - 50% foreign
National Bank Acquisition Holding Inc. Shareholder 1 Nov 2005 75% - 100% foreign
National Bank Of Canada Shareholder 1 Nov 2005 75% - 100% foreign
John Barton Roberson Manager 1 Mar 2006 75% - 100% 1141521
6811965 Canada Inc. Shareholder 1 Jul 2007 25% - 50% foreign
Nbf International Holdings Inc. Shareholder 1 Jul 2007 75% - 100% foreign
Randy Haugen Manager 1 Apr 2008 75% - 100% 5561325
John Clifton Bentley Trustee 1 Apr 2008 75% - 100% 5561326
Llc Amf Phh Finance Class b member 1 Apr 2008 50% - 75% 20-0318739
Asset Management Finance Corporation Member 1 Apr 2008 75% - 100% 20-0318739
John Bentley Shareholder 1 Apr 2008 75% - 100% 5561326
Llc Jbr Swish Member 1 Jan 2011 25% - 50% 51-0591401
John Barton Roberson Manager 1 Jan 2011 25% - 50% 1141521
John Clifton Bentley Manager 1 Jan 2011 25% - 50% 2089770
John Barton Roberson Shareholder 1 Sep 2011 50% - 75% 1141521
Ronald Ellis Simmons Shareholder 1 Sep 2011 50% - 75% 2143052
J M Trust Member 1 Jan 2012 25% - 50% 99-9999999
John Barton Roberson Manager 1 Sep 2012 25% - 50% 1141521
John Clifton Bentley Manager 1 Sep 2012 25% - 50% 2089770
Llc Jbr Swish Manager 1 Jan 2013 50% - 75% 51-0591401
J M Trust Manager 1 Sep 2013 50% - 75% 99-9999999
J M Trust Member 1 Jan 2014 25% - 50% 99-9999999
Brad Michael Bridgewater Manager 1 Jan 2014 25% - 50% 5083573
Llc Rb 2013 Conduit Manager 1 Sep 2015 50% - 75% 46-4481665
Hbc Raa Lp Manager 1 Sep 2015 50% - 75% 36-4815233
Hbc Raa Co Invest Lp Partner 1 Sep 2015 25% - 50% 38-3976897
Hoak Private Equities I Lp Partner 1 Sep 2015 75% - 100% 20-1356252
Hbc Raa Lp Member 1 Oct 2015 25% - 50% 36-4815233

Based in Addison

The principal office where Phh Investments, Ltd. performs its advisory services is located at 15725 N. Dallas Parkway, Addison, TX 75001, which is also the mailing address of the firm. An additional office of the firm is in Kennesaw, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 972-233-3367 or by fax 972-233-3188. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at raa.com.