SWP FINANCIAL LLC

CRD

327885

SEC file #

801-128911

EIN

934622399

DBA names

Salient Wealth Planning

Economics

AUM

$239.4M

AUM band

$100M-$500M

AUM trajectory

'25 · $199.9M

'26 · $239.4M

'25'26

$199.9M → $239.4M▲ +20%

sec adv history

Client mix

Individuals Other	140
Individuals High Net Worth	53

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'25 · 3 advisors

'26 · 3 advisors

'25'26

3 advisors → 3 advisors▬ 0%

sec adv history

Primary office

ENCINITAS CA

Branches

—

Custodian & Brokerage

Primary custodian

Fidelitylow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

04/22/2026

salientwealthplanning.com

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

SMITH, PHILIP, EDWIN

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

SMITH, PHILIP, EDWIN

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

SALIENTWEALTHPLANNING.COM

Rdap Domain Creation Date

2015-11-03T22:26:55Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0002014200

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-03-08

Edgar Last Filing Date

2026-04-17

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-17

Accession0001951757-26-000639

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Fidelity	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

171 SAXONY ROADSUITE #211ENCINITAS, CA 92024

Business

171 SAXONY ROADSUITE #211ENCINITAS, CA 92024

Edgar EIN

934622399

Edgar Recent Filings

13F-HR2026-04-17 · 0001951757-26-000639

13F-HR2026-01-16 · 0001951757-26-000174

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2026-11-03T22:26:55Z

Rdap Domain Last Changed

2025-09-04T07:05:47Z

Rdap Nameservers

Ns87.worldnic.comNs88.worldnic.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Top Owner CRD

4231653

Trust Company Affiliate