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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SMALLWOOD WEALTH MANAGEMENT

SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC, CRD 288663

RED BANK, NJ

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:0d8d49f2-3397-3d7f-e98d-8b13528bdc12

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 6
On other graphs: 0
Observed: May 18, 2017 to Mar 13, 2026
49 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=0.89 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $339MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $339M
Private client RAUM: $300MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $56.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,119
Individual clients: 331
High net worth clients: 110
Custody, client assets: $176M
SEC number: 801-110658
CRD: 288663
Filings on the tape: 49
First filed: May 18, 2017
Latest filed: Mar 13, 2026
Organised: Limited Liability Company, NJ

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
JOHN LEWIS SMALLWOOD	Certified Financial Planner	RED BANK, NJ	9	36	6	yes
Robert Marks	Certified Financial Planner	RED BANK, NJ	4	11	n/a	yes
CHRISTOPHER SMALLWOOD	n/a	RED BANK, NJ	3	10	n/a	yes
JOHN LEWIS SMALLWOOD	n/a	RED BANK, NJ	3	12	n/a	yes
Jared Smallwood	n/a	RED BANK, NJ	2	12	n/a	no
Christine A Flynn	n/a	RED BANK, NJ	0	10	2	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
JOHN L. SMALLWOOD, SR INVESTMENT TRUST	Member	E	yes	06/2017	Jun 19, 2017	Oct 7, 2024
SMALLWOOD, JOHN, LEWIS	Trustee	E	yes	06/2017	May 18, 2017	Oct 7, 2024
SMALLWOOD, JOHN, LEWIS	CHIEF COMPLIANCE OFFICER	Na	yes	05/2017	May 18, 2017	Oct 7, 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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 13, 2026	$339M	$339M	12	5	n/a	n/a
2024	Apr 9, 2025	$295M	$294M	12	12	n/a	n/a
2023	Feb 21, 2024	$263M	$262M	7	7	n/a	n/a
2022	Mar 24, 2023	$247M	$227M	7	7	n/a	n/a
2021	Mar 3, 2022	$233M	$231M	2	2	n/a	n/a
2020	Feb 25, 2021	$194M	$2.6M	2	2	n/a	n/a
2019	Mar 6, 2020	$172M	$2.6M	2	2	n/a	n/a
2018	Mar 7, 2019	$112M	$112M	3	3	n/a	n/a
2017	Mar 27, 2018	$130M	$130M	2	2	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
1	2	-1	33.3%	0	0	0	2	3

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	$339M	$295M	15.1%	$247M	11.2%	12	12	0	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
VESTGEN INVESTMENT MANAGEMENT	2	Aug 25, 2017	Jul 7, 2017	EGG HARBOR TWP, NJ	Team lift out	Other	50.0%

Relationships

Registered with (11)

← Christine A FlynnAdvisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← Jared SmallwoodAdvisorregistration: current employment
Jun 27, 2024 to presentfactForm ADV
← JOHN LEWIS SMALLWOODAdvisorregistration: current employment
Aug 22, 2023 to presentfactForm ADV
← CHRISTOPHER SMALLWOODAdvisorregistration: current employment
Mar 15, 2023 to presentfactForm ADV
← Robert MarksAdvisorregistration: current employment
May 23, 2022 to presentfactForm ADV
← JOHN LEWIS SMALLWOODAdvisorregistration: current employment
Jul 7, 2017 to presentfactForm ADV
← EDWARD EDGAR BAOAdvisorregistration: previous registration
Jul 7, 2017 to Oct 29, 2025factForm ADV
← Kaitlyn GalganoAdvisorregistration: previous registration
Oct 2, 2024 to Oct 27, 2025factForm ADV
← Traci Lynn KellyAdvisorregistration: previous registration
Jun 21, 2022 to Oct 7, 2024factForm ADV
← Alan Edward ConchaAdvisorregistration: previous registration
Sep 9, 2022 to Apr 6, 2023factForm ADV
← JOHN DAVID VOGELZANGAdvisorregistration: previous registration
Aug 10, 2022 to Mar 23, 2023factForm ADV

Controls (2)

← SMALLWOOD, JOHN, LEWISOwnerTRUSTEE, ownership code E, individual
May 18, 2017 to Oct 7, 2024factForm ADV
← JOHN L. SMALLWOOD, SR INVESTMENT TRUSTOwnerMEMBER, ownership code E, domestic entity
Jun 19, 2017 to Oct 7, 2024factForm ADV

Moved with (1)

← VESTGEN INVESTMENT MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Aug 25, 2017 to Jul 7, 2017factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
Edward Edgar Bao left Smallwood Wealth Management for Buckman Advisory Group Llc (registered 2025-11-17)
Form ADVobserved 3 days ago
Occurred
Oct 27, 2025
Advisor changed firm
Kaitlyn Galgano left Smallwood Wealth Management for Ubs Financial Services Inc. (registered 2025-10-27)
Form ADVobserved 3 days ago
Occurred
Oct 7, 2024
Advisor changed firm
Traci Lynn Kelly left Smallwood Wealth Management for Osaic Wealth, Inc. (registered 2024-11-04)
Form ADVobserved 3 days ago
Occurred
Apr 6, 2023
Advisor changed firm
Alan Edward Concha left Smallwood Wealth Management for Securities America Advisors, Inc. (registered 2023-04-18)
Form ADVobserved 3 days ago
Occurred
Mar 23, 2023
Advisor changed firm
John David Vogelzang left Smallwood Wealth Management for Advisory Services Network (registered 2023-03-31)
Form ADVobserved 3 days ago
Occurred
May 18, 2017
First Form ADV filing
Smallwood Associates, Ltd filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d8d49f2-3397-3d7f-e98d-8b13528bdc12
First observed: May 18, 2017
Last observed: Mar 13, 2026 6 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.

SMALLWOOD WEALTH MANAGEMENT

SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC, CRD 288663

RED BANK, NJ

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:0d8d49f2-3397-3d7f-e98d-8b13528bdc12

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN LEWIS SMALLWOOD

Certified Financial Planner

RED BANK, NJ

yes

Robert Marks

Certified Financial Planner

RED BANK, NJ

n/a

yes

CHRISTOPHER SMALLWOOD

n/a

RED BANK, NJ

n/a

yes

JOHN LEWIS SMALLWOOD

n/a

RED BANK, NJ

n/a

yes

Jared Smallwood

n/a

RED BANK, NJ

n/a

Christine A Flynn

n/a

RED BANK, NJ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOHN L. SMALLWOOD, SR INVESTMENT TRUST

Member

yes

06/2017

Jun 19, 2017

Oct 7, 2024

SMALLWOOD, JOHN, LEWIS

Trustee

yes

06/2017

May 18, 2017

Oct 7, 2024

SMALLWOOD, JOHN, LEWIS

CHIEF COMPLIANCE OFFICER

yes

05/2017

May 18, 2017

Oct 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$339M

n/a

2024

Apr 9, 2025

$295M

$294M

n/a

2023

Feb 21, 2024

$263M

$262M

n/a

2022

Mar 24, 2023

$247M

$227M

n/a

2021

Mar 3, 2022

$233M

$231M

n/a

2020

Feb 25, 2021

$194M

$2.6M

n/a

2019

Mar 6, 2020

$172M

$2.6M

n/a

2018

Mar 7, 2019

$112M

n/a

2017

Mar 27, 2018

$130M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

33.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$339M

$295M

15.1%

$247M

11.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VESTGEN INVESTMENT MANAGEMENT

Aug 25, 2017

Jul 7, 2017

EGG HARBOR TWP, NJ

Team lift out

Other

50.0%