Philip E. Smith
SALIENT WEALTH PLANNING | Private Wealth Advisor
ENCINITAS, CA 92024
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CRD#: 4231653
Philip Edwin SmithSALIENT WEALTH PLANNING
Professional summary
Philip Edwin Smith, CFP®, ChFC® is a registered financial advisor currently at SALIENT WEALTH PLANNING located in Encinitas, California and SAVVY located in Encinitas, California.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Philip has worked at 5 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
At a Glance
Min. Asset: $50K–$100K
Services Offered
Estate & Legacy Planning
Financial Planning
Risk Management & Insurance
Investment Management
Retirement Planning
Education Funding
Tax Planning
Business Services
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. SWP Financial Holdings, LLC d/b/a Salient Wealth Planning LLC //Yes, investment related / At registered location / Financial Planning & Investment Management / Owner / Managing Director, Financial Advisor / October 2023 / 40/week / Zero / hours to other businesses / None; this is the DBA for employment at Savvy. 2. Real Estate Ownership; Multi-Family; / Long Term, buy and hold / 92110; Investment Related/ August 2016 / Multi-Family; 92110; Investment Related; August 2016/ Multi-Family; Vista, CA 92084; Investment Related; October 2021/ Single Family; Pine Cove, CA 92561; Investment Related; August 2022. / Owner of the properties / Zero hours devoted during business hours / No duties, just owner
CRS (Client Relationship Summary) - RIA
Click below to view Philip Edwin Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Current
October 31, 2023 - Present
SALIENT WEALTH PLANNING
Office #1: 171 Saxony Road Suite 211, Encinitas, CA 92024RIA
CRD#: 327885
ENCINITAS, CA
Current
September 23, 2026 - Present
SAVVY
Office #1: 171 Saxony Rd #211, Encinitas, CA 92024RIA
CRD#: 318493
Encinitas, CA
Current
October 31, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 171 Saxony Road #211, Encinatas, CA 92024BD
CRD#: 35747
Encinatas, CA
Past
September 13, 2000 - November 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN DIEGO, CA
Past
July 28, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 28, 2000 - November 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SAVVY
ATTICUS WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS | WEALTH RETENTION | UNIVERSAL VALUE ADVISORS | TRUE HARVEST PRIVATE WEALTH | THE RETIREMENT STUDIO | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SORELLE WEALTH PARTNERS | SHARPEWEALTH | SEDAI WEALTH | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | REVIVE WEALTH | RENOVATE FINANCIAL PLANNING | PRESTIQ WEALTH PARTNERS CORP | PILLAR CAPITAL, LLC | NINE FOUR WEALTH | MILETTI WEALTH MANAGEMENT | MARKETWISE ASSET MANAGEMENT | MARCADO ASSET MANAGEMENT | MARATHON WEALTH ADVISORS | LONGLEAF PRIVATE WEALTH | KHOURY PRIVATE WEALTH | JNB WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS | FLEX WEALTH MANAGEMENT | DEEP FORK | DC INSTITUTIONAL | CORSO WEALTH LLC | COLORADO WEALTH GROUP | CEDAR + SEVENS WEALTH | BUILD BETTER FINANCIAL FUTURE | BREAKAWAY FINANCIAL GROUP LLC | BLUE BARN WEALTH | BEYOND WEALTH MANAGERS
CRD#: 318493 / SEC#: 801-123656
RIA
Registered Investment Advisory firm - (4/11/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/31/2023)
RR
California(10/31/2023)
IAR
California(10/31/2023)
RR
New Mexico(10/3/2025)
IAR
Texas(10/31/2023)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Passed: 10/31/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAVVY
ATTICUS WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS | WEALTH RETENTION | UNIVERSAL VALUE ADVISORS | TRUE HARVEST PRIVATE WEALTH | THE RETIREMENT STUDIO | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SORELLE WEALTH PARTNERS | SHARPEWEALTH | SEDAI WEALTH | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | REVIVE WEALTH | RENOVATE FINANCIAL PLANNING | PRESTIQ WEALTH PARTNERS CORP | PILLAR CAPITAL, LLC | NINE FOUR WEALTH | MILETTI WEALTH MANAGEMENT | MARKETWISE ASSET MANAGEMENT | MARCADO ASSET MANAGEMENT | MARATHON WEALTH ADVISORS | LONGLEAF PRIVATE WEALTH | KHOURY PRIVATE WEALTH | JNB WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS | FLEX WEALTH MANAGEMENT | DEEP FORK | DC INSTITUTIONAL | CORSO WEALTH LLC | COLORADO WEALTH GROUP | CEDAR + SEVENS WEALTH | BUILD BETTER FINANCIAL FUTURE | BREAKAWAY FINANCIAL GROUP LLC | BLUE BARN WEALTH | BEYOND WEALTH MANAGERS
CRD#: 318493 / SEC#: 801-123656
RIA
Registered Investment Advisory firm - (4/11/2022 Approved)Loading...
Contact information
Main Address
111 West 33rd Street Unit 1410, New York, NY 10001
Mailing Address
Phone number
(833) 745-6789
Established
Firm type
Fiscal year end
# of Employees
170
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,645 |
| AUM (Assets Under Management) | $ 5,001,044,474 |
Red Flags
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Company Information
SAVVY
Private Wealth AdvisorCRD#: 318493Encinitas, CA 92024TRUST BUT VERIFY
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(xxx) xxx-xxxx
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