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SMALLWOOD WEALTH MANAGEMENT
Legal name: SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC
CRD 288663File 801-110658
APPROVED
Retail clients
Custody
Filing as of Mar 13, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$339.0M
Below cohort median (national)
Discretionary AUM
$339.0M
Clients
458
1,119 accounts
Employees
12
Below cohort median in NJ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 16, 2017
- Principal office
- 199 BROAD STREET, RED BANK, NJ, 07701
- Phone
- (732) 542-1565
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $339.0M
- Discretionary AUM
- $339.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,119
- Non-discretionary accounts
- 0
- Total accounts
- 1,119
- AUM per client
- $740K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $34.2M |
| Charitable organizations | Fewer than 5 | $2.4M |
| High net worth individuals | 110 | $196.1M |
| Pension and profit sharing plans | Fewer than 5 | $2.1M |
| Individuals (other than high net worth individuals) | 331 | $104.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 8 | 12 | increased by4 |
| Apr 1, 2026 | Custody | No | Yes | |
| Apr 1, 2026 | Clients | 407 | 458 | increased by51 |
| Apr 1, 2026 | AUM | $294,528,469 | $338,980,176 | increased by$44,451,707 |
| Apr 1, 2026 | Accounts | 406 | 1,119 | increased by713 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 12 | 8 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 12 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 339 | 407 | increased by68 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $232,516,283 | $294,528,469 | increased by$62,012,186 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 759 | 406 | decreased by353 |
| Oct 1, 2022 | Employees | 5 | 6 | increased by1 |
| Sep 1, 2022 | Employees | 4 | 5 | increased by1 |
| Aug 1, 2022 | Employees | 3 | 4 | increased by1 |
| Jul 1, 2022 | Employees | 2 | 3 | increased by1 |
| Apr 1, 2022 | Clients | 295 | 339 | increased by44 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SMALLWOOD WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SMALLWOOD WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.