DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

S•••••••• W••••• M•••••••••

Independent wealth managerRed Bank, New JerseyCRD 288663SEC 801-110658website IAPD

Legal name S•••••••• W••••• I••••••••• M••••••••• L••

Latest filing Mar 13, 2026

First filing on the tape May 18, 2017 · 49 filings

SEC status approved since Jun 16, 2017

RAUM

$339M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

89%

$300M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$56.5M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

49 filings and snapshots on the tape

RAUM$339M as of Mar 13, 2026

Mar 27, 2018$130M then

HNW client RAUM$196M as of Mar 13, 2026

Mar 27, 2018$85.5M then

State-registered IARs (5.B.3)5 as of Mar 13, 2026

Mar 27, 20182 then

Employees (5.A)12 as of Mar 13, 2026

Mar 27, 20182 then

Private funds: no history

RAUM +15% over the last fiscal year+11% a year over threeIARs 6 to 5

Practice profile

derived from the filing of Mar 13, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $56.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 74derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $302,931derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: -17%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.4%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $339MreportedItem 5.I
Custody: $176M, 355 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$196M58%
Individuals$104M31%
Corporations and businesses$34.2M10%
Charitable organizations$2.4M0.7%
Pension and profit-sharing plans$2.1M0.6%

Individual clients: 331reported
HNW clients: 110reported
Pension plan clients: 3reported
Charitable clients: 3reported
Accounts: 1,119reported
Financial planning clients: 251-500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $176M for 355 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

6 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••• L•••• S••••••••Certified Financial Planner	Red Bank, Nj	Jul 7, 2017	36 y	6
R••••• M••••Certified Financial Planner	Red Bank, Nj	May 23, 2022	11 y	0
C••••••••• S••••••••	Red Bank, Nj	Mar 15, 2023	10 y	0
J••• L•••• S••••••••	Red Bank, Nj	Aug 22, 2023	12 y	0
J•••• S••••••••	Red Bank, Nj	Jun 27, 2024	12 y	0
C•••••••• A• F••••	Red Bank, Nj	Jan 7, 2026	10 y	2

Advisor movement

2 left, 1 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount3 left over 36 months

Left, latest

E••••• E•••• B•• to B•••••• A••••••• G•••• L••
Oct 29, 2025 · RIA to RIA
K•••••• G•••••• to U•• F•••••••• S••••••• I•••
Oct 27, 2025 · RIA to wirehouse
T•••• L••• K•••• to O•••• W•••••• I•••
Oct 7, 2024 · RIA to affiliated broker-dealer or bank
A••• E••••• C••••• to S••••••••• A•••••• A•••••••• I•••
Apr 6, 2023 · RIA to affiliated broker-dealer or bank
J••• D•••• V•••••••• to A••••••• S••••••• N••••••
Mar 23, 2023 · RIA to RIA

Joined, latest

C•••••••• A• F•••• from R•• F•••••••• G••••
Jan 7, 2026 · Other
K•••••• G•••••• from T• R••• P•••• A••••••••• I•••
Oct 2, 2024 · Other
A••• E••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 9, 2022 · Wirehouse to independent RIA
J••• D•••• V•••••••• from C•••••• S••••• • C••• I•••
Aug 10, 2022 · Affiliated broker-dealer or bank to independent RIA
J••• L•••• S•••••••• from V•••••• I••••••••• M•••••••••
Jul 7, 2017 · Other
E••••• E•••• B•• from V•••••• I••••••••• M•••••••••
Jul 7, 2017 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from V•••••• I••••••••• M•••••••••
Aug 25, 2017 · Egg Harbor Twp, Nj

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• J•••• L•••• · Chief Compliance Officercontrol
since 05/2017 · owns less than 5%
S••••••••• J•••• L•••• · Trusteecontrol
since 06/2017 · owns 75% or more of J••• L• S••••••••• S• I••••••••• T••••

Entity owners

J••• L• S••••••••• S• I••••••••• T•••• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Red Bank, Nj · principal	6	1	2
Tarpon Springs, Fl	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Mar 13, 2026
accounts (Item 5.F.2.f) moved from 406.0 to 1,119.0 (+176.0%) between the annual amendments of 2025-04-09 and 2026-03-13; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
custody status changedChange between filings · filing Mar 13, 2026
custody of client assets (Item 9.A): no on the filing of 2025-11-26, yes on the filing of 2026-03-13
peers: independent wealth managers, $100M to $500M (5,676)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 406 to 1,119
Nov 26, 2025 to Mar 13, 2026
Advisory employees · 8 to 5
Nov 26, 2025 to Mar 13, 2026
Charity clients · 2 to 3
Nov 26, 2025 to Mar 13, 2026
Corporate clients · 1 to 11
Nov 26, 2025 to Mar 13, 2026
HNW clients · 107 to 110
Nov 26, 2025 to Mar 13, 2026
Individual clients · 296 to 331
Nov 26, 2025 to Mar 13, 2026
Pension plan clients · 1 to 3
Nov 26, 2025 to Mar 13, 2026
Assets in custody · unset to 175788697.0
Nov 26, 2025 to Mar 13, 2026
Custody of client assets · false to true
Nov 26, 2025 to Mar 13, 2026
Employees · 8 to 12
Nov 26, 2025 to Mar 13, 2026
Insurance-licensed employees · 0 to 4
Nov 26, 2025 to Mar 13, 2026
State-registered IARs · 4 to 5
Nov 26, 2025 to Mar 13, 2026
Discretionary RAUM · $294M to $339M
Nov 26, 2025 to Mar 13, 2026
HNW RAUM · $212M to $196M
Nov 26, 2025 to Mar 13, 2026
Individual RAUM · $80.2M to $104M
Nov 26, 2025 to Mar 13, 2026
Non-discretionary RAUM · $77,358 to $0
Nov 26, 2025 to Mar 13, 2026
Pension RAUM · $2,034 to $2.1M
Nov 26, 2025 to Mar 13, 2026
RAUM · $295M to $339M
Nov 26, 2025 to Mar 13, 2026
Wrap assets (manager) · $295M to $0
Nov 26, 2025 to Mar 13, 2026
Advisory employees · 12 to 8
Aug 18, 2025 to Nov 26, 2025
BD registered reps · 2 to 1
Aug 18, 2025 to Nov 26, 2025
Employees · 12 to 8
Aug 18, 2025 to Nov 26, 2025
State-registered IARs · 6 to 4
Aug 18, 2025 to Nov 26, 2025
Accounts · 874 to 406
Oct 7, 2024 to Apr 9, 2025
Advisory employees · 8 to 12
Oct 7, 2024 to Apr 9, 2025
Corporate clients · 4 to 1
Oct 7, 2024 to Apr 9, 2025
HNW clients · 96 to 107
Oct 7, 2024 to Apr 9, 2025
Individual clients · 276 to 296
Oct 7, 2024 to Apr 9, 2025
Employees · 8 to 12
Oct 7, 2024 to Apr 9, 2025
Financial planning clients · 251-500 to 251-500
Oct 7, 2024 to Apr 9, 2025
State-registered IARs · 8 to 6
Oct 7, 2024 to Apr 9, 2025
Discretionary RAUM · $262M to $294M
Oct 7, 2024 to Apr 9, 2025
HNW RAUM · $178M to $212M
Oct 7, 2024 to Apr 9, 2025
Individual RAUM · $57.0M to $80.2M
Oct 7, 2024 to Apr 9, 2025
Non-discretionary RAUM · $73,564 to $77,358
Oct 7, 2024 to Apr 9, 2025
Pension RAUM · $10,250 to $2,034
Oct 7, 2024 to Apr 9, 2025
RAUM · $263M to $295M
Oct 7, 2024 to Apr 9, 2025
Wrap assets (manager) · $249M to $295M
Oct 7, 2024 to Apr 9, 2025
Advisory employees · 7 to 8
Mar 4, 2024 to Jul 15, 2024
Employees · 7 to 8
Mar 4, 2024 to Jul 15, 2024

Signals

6 dated events

E••••• E•••• B•• left S•••••••• W••••• M••••••••• for B•••••• A••••••• G•••• L•• (registered 2025-11-17)
Oct 29, 2025 · Advisor changed firm · fact
K•••••• G•••••• left S•••••••• W••••• M••••••••• for U•• F•••••••• S••••••• I••• (registered 2025-10-27)
Oct 27, 2025 · Advisor changed firm · fact
T•••• L••• K•••• left S•••••••• W••••• M••••••••• for O•••• W•••••• I••• (registered 2024-11-04)
Oct 7, 2024 · Advisor changed firm · fact
A••• E••••• C••••• left S•••••••• W••••• M••••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2023-04-18)
Apr 6, 2023 · Advisor changed firm · fact
J••• D•••• V•••••••• left S•••••••• W••••• M••••••••• for A••••••• S••••••• N•••••• (registered 2023-03-31)
Mar 23, 2023 · Advisor changed firm · fact
S•••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)
May 18, 2017 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: 800-797-1000reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: linkedin.com/company/smallwood-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
Website: moneyisnt.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (732) 542-1565reportedpublic record, Form ADV, Mar 13, 2026
Contact form: moneyisnt.com/contact.htmlreportedpublished by the firm, firm site, Sep 17, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $56.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026