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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SALIENT WEALTH PLANNING

SWP FINANCIAL LLC, CRD 327885

ENCINITAS, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:23341b1d-daf0-654b-98d4-2afe02bac802

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Sep 18, 2023 to Jul 14, 2026
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $239MItem 5.F on the latest filing (2026-07-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $195M
Private client RAUM: $239MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $79.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 817
Individual clients: 140
High net worth clients: 53
Custody, client assets: $9.2M
SEC number: 801-128911
CRD: 327885
Filings on the tape: 14
First filed: Sep 18, 2023
Latest filed: Jul 14, 2026
Organised: Limited Liability Company, CA
Website: salientwealthplanning.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PHILIP EDWIN SMITH	Certified Financial Planner\|Chartered Financial Consultant	ENCINITAS, CA	2	26	1	yes
ALLISON SUZANNE WOOTON	n/a	ENCINITAS, CA	2	16	1	yes
RICHARD JOSEPH VERTUCCI	n/a	ENCINITAS, CA	2	13	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SMITH, PHILIP, EDWIN	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	10/2023	Oct 31, 2023	Mar 4, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 22, 2026	$239M	$195M	4	3	2	n/a	n/a
2024	Mar 20, 2025	$200M	$155M	5	3	0	n/a	n/a
2023	Mar 4, 2024	$159M	$126M	4	3	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	3	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$239M	$200M	19.8%	n/a	n/a	4	5	2	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERIPRISE FINANCIAL SERVICES, LLC	3	Nov 7, 2023	Oct 31, 2023	ESCONDIDO, CA	Team lift out	Ibd to new firm	0.0%

Relationships

Registered with (3)

← PHILIP EDWIN SMITHAdvisorregistration: current employment
Oct 31, 2023 to presentfactForm ADV
← ALLISON SUZANNE WOOTONAdvisorregistration: current employment
Oct 31, 2023 to presentfactForm ADV
← RICHARD JOSEPH VERTUCCIAdvisorregistration: current employment
Oct 31, 2023 to presentfactForm ADV

Controls (1)

← SMITH, PHILIP, EDWINOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 31, 2023 to Mar 4, 2024factForm ADV

Moved with (1)

← AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser3 advisors, team lift out
Nov 7, 2023 to Oct 31, 2023factForm ADV

Dated events

Occurred
Nov 7, 2023
Team lift-out
3 advisors left Ameriprise Financial Services, LLC (Escondido, CA) for Salient Wealth Planning a day apart
Form ADVobserved 4 days ago
3 advisors
Occurred
Oct 31, 2023
Control person joined
Edwin Philip Smith (Managing Member & Chief Compliance Officer) appeared on Schedule A of Salient Wealth Planning
Form ADVobserved 4 days ago
Occurred
Oct 31, 2023
Control person left
Harrison Taelim Yaste (Chief Compliance Officer & Chief Executive Officer) no longer on Schedule A of Salient Wealth Planning (listed 2023-10-24, absent 2023-10-31)
Form ADVobserved 4 days ago
Occurred
Sep 18, 2023
First Form ADV filing
Salient Wealth Planning Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23341b1d-daf0-654b-98d4-2afe02bac802
First observed: Sep 18, 2023
Last observed: Jul 14, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SALIENT WEALTH PLANNING

SWP FINANCIAL LLC, CRD 327885

ENCINITAS, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:23341b1d-daf0-654b-98d4-2afe02bac802

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:55 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILIP EDWIN SMITH

Certified Financial Planner|Chartered Financial Consultant

ENCINITAS, CA

yes

ALLISON SUZANNE WOOTON

n/a

ENCINITAS, CA

yes

RICHARD JOSEPH VERTUCCI

n/a

ENCINITAS, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SMITH, PHILIP, EDWIN

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

10/2023

Oct 31, 2023

Mar 4, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 22, 2026

$239M

$195M

n/a

2024

Mar 20, 2025

$200M

$155M

n/a

2023

Mar 4, 2024

$159M

$126M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$239M

$200M

19.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERIPRISE FINANCIAL SERVICES, LLC

Nov 7, 2023

Oct 31, 2023

ESCONDIDO, CA

Team lift out

Ibd to new firm

0.0%