DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

JOHN LEWIS SMALLWOOD

Advisor at SMALLWOOD WEALTH MANAGEMENT

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:b84a6dfd-a2de-ad97-07d8-4c4a0d34de4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 30, 2002 to Sep 14, 2026

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

Current firm: SMALLWOOD WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 5
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Sep 28, 1992
First registration: May 30, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2132725

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SMALLWOOD WEALTH MANAGEMENT	Independent wealth	Jul 7, 2017	n/a	yes	RED BANK, NJ	Current employment
VESTGEN INVESTMENT MANAGEMENT	Mixed wealth	Nov 9, 2016	Aug 25, 2017	no	EGG HARBOR TWP., NJ	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	May 16, 2011	Nov 8, 2016	no	WALTHAM, MA\|Red Bank, NJ	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 22, 2008	May 17, 2011	no	SHREWSBURY, NJ	Previous registration
SMALLWOOD CAPITAL MANAGEMENT	n/a	Nov 1, 2004	Nov 29, 2005	no	SHREWSBURY, NJ	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jan 1, 2004	Aug 6, 2008	no	SHREWSBURY, NJ\|SHREWSBURY, NJ	Previous registration
VESTAX SECURITIES CORPORATION	n/a	May 30, 2002	Jan 1, 2004	no	SHREWSBURY, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VESTGEN INVESTMENT MANAGEMENT	SMALLWOOD WEALTH MANAGEMENT	Aug 25, 2017	Jul 7, 2017	-49	Firm change after gap	Other
COMMONWEALTH FINANCIAL NETWORK	VESTGEN INVESTMENT MANAGEMENT	Nov 8, 2016	Nov 9, 2016	1	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	COMMONWEALTH FINANCIAL NETWORK	May 17, 2011	May 16, 2011	-1	Firm change	Other
CETERA ADVISORS LLC	SMALLWOOD CAPITAL MANAGEMENT	Aug 6, 2008	Nov 1, 2004	-1,374	Firm change after gap	Other
SMALLWOOD CAPITAL MANAGEMENT	SECURITIES AMERICA ADVISORS, INC.	Nov 29, 2005	Jul 22, 2008	966	Firm change after gap	Other
VESTAX SECURITIES CORPORATION	CETERA ADVISORS LLC	Jan 1, 2004	Jan 1, 2004	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
118851:288663:NJ:2017-08-25	Aug 25, 2017	Jul 7, 2017	EGG HARBOR TWP, NJ	Firm change after gap
8032:118851:NJ:2016-11-08	Nov 8, 2016	Nov 9, 2016	RED BANK, NJ	Firm change

Relationships

Registered with (7)

→ SMALLWOOD WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jul 7, 2017 to presentfactForm ADV
→ VESTGEN INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Nov 9, 2016 to Aug 25, 2017factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
May 16, 2011 to Nov 8, 2016factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 22, 2008 to May 17, 2011factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jan 1, 2004 to Aug 6, 2008factForm ADV
→ SMALLWOOD CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Nov 1, 2004 to Nov 29, 2005factForm ADV
→ VESTAX SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 30, 2002 to Jan 1, 2004factForm ADV

Dated events

No dated event names this entity yet.