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RIA / WealthAdvisor22 years in industry

Kevin David Smallwood

Advisor at SMALLWOOD FINANCIAL GROUP LLC

SUMMIT, NJ

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Search this name across graphsid dfx:ria:d64d559f-88c8-6438-77ef-41ddf9569e45

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2004 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 FINANCIAL GROUP LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 29, 2004
First registration: Feb 28, 2004
Dual registered: no
Other names: Kevin D. Smallwood
IAPD individual key: 4712150

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 FINANCIAL GROUP LLC	State registered	Jan 1, 2026	n/a	yes	SUMMIT, NJ	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jun 14, 2006	Dec 31, 2019	no	Summit, NJ\|Crystal Bay, NV\|SUMMIT, NJ	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	Jun 5, 2006	Jul 13, 2006	no	SUMMIT, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 28, 2004	Mar 16, 2006	no	JERSEY CITY, NJ\|SUMMIT, 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
WESTERN INTERNATIONAL SECURITIES	SMALLWOOD FINANCIAL GROUP LLC	Dec 31, 2019	Jan 1, 2026	2,193	Firm change after gap	RIA to state RIA
INVESTACORP ADVISORY SERVICES INC	WESTERN INTERNATIONAL SECURITIES	Jul 13, 2006	Jun 14, 2006	-29	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	INVESTACORP ADVISORY SERVICES INC	Mar 16, 2006	Jun 5, 2006	81	Firm change	Other

Relationships

Registered with (4)

→ SMALLWOOD FINANCIAL GROUP LLCRegistered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jun 14, 2006 to Dec 31, 2019factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jun 5, 2006 to Jul 13, 2006factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 28, 2004 to Mar 16, 2006factForm ADV

Dated events

No dated event names this entity yet.