First Investment Corporation
- Regulatory AUM
- $66.8M
- Discretionary
- $66.8M
- Clients
- 221
- Avg AUM / client
- $302K
- Accounts
- 348
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 193 | $29.9M | 44.8% |
| High net worth individuals | 28 | $36.7M | 54.9% |
| Corporations and other businesses | Fewer than 5 clients | $229K | 0.34% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Phillips, Jimmy, Dale | Chief Compliance Officer/Ceo | Mar 1989 (37y) | 75% or more | |
| Cheryl Annette Green | Registered representative | Mar 2002 (24y) | ||
| Kenneth Wayne Green | Registered representative | CFP | Mar 2002 (24y) | |
| Morgan Faye Barnhill | Registered representative | Dec 2018 (8y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 991 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Calton & Associates, Inc. $66.8M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗