SALIENT WEALTH PLANNING
SWP FINANCIAL LLC Legal Name
Adviser information for SALIENT WEALTH PLANNING last updated from Form ADV on March 4th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
---|---|
Fiscal Year End | DECEMBER |
Legal Location | California, United States |
Employees
Total Number of Employees | 4 |
---|---|
Investment Advisory/Research | 3 |
Registered Broker-Dealer Representatives | 2 |
Registered State Investment Advisers | 3 |
Licensed Agents of an Insurance Company | 4 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 527 | $126.2M |
Non-Discretionary | 210 | $32.6M |
Total | 737 | $158.9M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 136 | $55.3M |
HNW Individuals | 55 | $102.8M |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | <5 | $768,966 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
---|---|
Compensation | % of AUMFixed fees |
Principal Office
3655 NOBEL DR.SUITE 510
SAN DIEGO
CA
United States
Monday - Friday, 8AM - 4PM
Tel: 858-768-0094, Fax: None
Chief Compliance Officer
PHILIP SMITH
3655 NOBEL DR.
SUITE 510
SAN DIEGO
CA
United States
Tel:
858-768-0096
P*****@************************M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|
None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
SMITH, PHILIP, EDWIN | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 10/2023 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
ALPHABET INC | CAP STK CL A | 261K | 1K | – |
AMAZON COM INC | COM | 225K | 1K | – |
APPLE INC | COM | 9M | 42K | – |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 478K | 1K | – |
COSTCO WHSL CORP NEW | COM | 290K | 341 | – |
FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 337K | 4K | – |
GENERAL DYNAMICS CORP | COM | 275K | 949 | – |
INTUITIVE SURGICAL INC | COM NEW | 336K | 756 | – |
ISHARES TR | 0-5 YR TIPS ETF | 422K | 4K | – |
ISHARES TR | AGGRES ALLOC ETF | 382K | 5K | – |
ISHARES TR | CORE S&P500 ETF | 20M | 36K | – |
ISHARES TR | CORE S&P MCP ETF | 7M | 123K | – |
ISHARES TR | CORE S&P SCP ETF | 7M | 65K | – |
ISHARES TR | CORE US AGGBD ET | 446K | 5K | – |
ISHARES TR | RUSSELL 2000 ETF | 203K | 1K | – |
ISHARES TR | S&P 500 GRWT ETF | 3M | 37K | – |
ISHARES TR | S&P 500 VAL ETF | 2M | 13K | – |
ISHARES TR | BROAD USD HIGH | 5M | 132K | – |
ISHARES TR | CORE TOTAL USD | 10M | 227K | – |
ISHARES TR | ESG AWR US AGRGT | 266K | 6K | – |
ISHARES TR | IBOXX HI YD ETF | 355K | 5K | – |
ISHARES TR | ISHS 1-5YR INVS | 7M | 136K | – |
ISHARES TR | ISHS 5-10YR INVT | 1M | 20K | – |
ISHARES TR | MSCI USA ESG SLC | 357K | 3K | – |
ISHARES TR | 1 3 YR TREAS BD | 236K | 3K | – |
ISHARES TR | CORE MSCI EAFE | 10M | 137K | – |
JPMORGAN CHASE & CO. | COM | 208K | 1K | – |
META PLATFORMS INC | CL A | 725K | 1K | – |
MICROSOFT CORP | COM | 350K | 782 | – |
NETFLIX INC | COM | 256K | 380 | – |
NVIDIA CORPORATION | COM | 246K | 2K | – |
ORACLE CORP | COM | 291K | 2K | – |
QUALCOMM INC | COM | 953K | 5K | – |
SEMPRA | COM | 1M | 15K | – |
TETRA TECH INC NEW | COM | 576K | 3K | – |
TRIMBLE INC | COM | 498K | 9K | – |
UNITEDHEALTH GROUP INC | COM | 523K | 1K | – |
VANGUARD BD INDEX FDS | INTERMED TERM | 8M | 113K | – |
VANGUARD BD INDEX FDS | SHORT TRM BOND | 5M | 71K | – |
VANGUARD INDEX FDS | GROWTH ETF | 14M | 38K | – |
VANGUARD INDEX FDS | TOTAL STK MKT | 2M | 8K | – |
VANGUARD INDEX FDS | VALUE ETF | 16M | 101K | – |
VANGUARD INDEX FDS | S&P 500 ETF SHS | 337K | 673 | – |
VANGUARD INDEX FDS | LARGE CAP ETF | 4M | 15K | – |
VANGUARD INDEX FDS | MID CAP ETF | 2M | 10K | – |
VANGUARD INDEX FDS | SMALL CP ETF | 2M | 11K | – |
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 2M | 41K | – |
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 854K | 8K | – |
VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 348K | 7K | – |
WP CAREY INC | COM | 240K | 4K | – |