Swp Financial LLC
● SEC registered since 2023CRD 327885SEC# 801-128911Encinitas, CA
Reg. AUM
$239.4M
Employees
4
Accounts
817
Location
Encinitas, CA
Swp Financial LLC assets under management
Swp Financial LLC is an investment advisory firm registered with the SEC based in Encinitas, CA. The firm has been registered since 2023. It reports $239.4 million in regulatory assets under management and employs 4 people.
Swp Financial LLC owners & executives
1 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Philip Edwin Smith Control | Managing Member & Chief Compliance Officer | Over 75% | 2023 |
Frequently asked questions
How much does Swp Financial LLC manage?
Swp Financial LLC reports $239.4 million in regulatory assets under management on its Form ADV.
How many employees does Swp Financial LLC have?
Swp Financial LLC reports 4 employees.
Where is Swp Financial LLC located?
Swp Financial LLC is based in Encinitas, CA and has been SEC-registered since 2023.
Does Swp Financial LLC disclose fund performance?
Swp Financial LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 171 Saxony Road, Suite 211, Encinitas, CA 92024 |
| Phone | 858-768-0096 |
| Office hours | 8a.m. - 4p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| Discloses disciplinary history | No |
Regulatory AUM
$239.4M▲ 20%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 69%
Larger than 31% of 16,271 advisers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$239.4Mregulatory AUM
Discretionary $194.7MNon-discretionary $44.6M