Smallwood Wealth Investment Management, Llc
- Regulatory AUM
- $339M
- Discretionary
- $339M
- Clients
- 458
- Avg AUM / client
- $740K
- Accounts
- 1,119
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 331 | $104M | 30.7% |
| High net worth individuals | 110 | $196M | 57.8% |
| Pension and profit sharing plans | 3 | $2.1M | 0.62% |
| Charitable organizations | 3 | $2.4M | 0.71% |
| Corporations and other businesses | 11 | $34.2M | 10.1% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Lewis Smallwood | Trustee | CFP | May 2017 (9y) | ≈ 56.25% – 100% via John L. Smallwood, Sr Investment Trust |
| Robert Marks | Registered representative | CFP | May 2022 (4y) | |
| Christopher Smallwood | Registered representative | Mar 2023 (3y) | ||
| John Lewis Smallwood | Registered representative | Aug 2023 (3y) | ||
| Jared Smallwood | Registered representative | Jun 2024 (2y) | ||
| Christine A Flynn | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| John L. Smallwood, Sr Investment Trust | Member | Jun 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- John Lewis Smallwood: 75% – 100% of John L. Smallwood, Sr Investment Trust × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 939 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $339M (100% of AUM) Mar 2026
- Pershing $219K (0% of AUM) Oct 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗