Smallwood Financial Group Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 305790
· Summit, NJ
· www.smallwoodfinancial.com
☆ Save with Pro
ADV data as of Mar 19, 2025
- Regulatory AUM
- $37.0M
- Discretionary
- $0
- Clients
- 73
- Avg AUM / client
- $507K
- Accounts
- 73
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | 73 | $37.0M | 100.0% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kevin David Smallwood | Registered representative | Jan 2026 (1y) | ||
| Luis E Portilla | Registered representative | Jan 2026 (1y) |
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) | 03/19/2025 | 986 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
Services
- • Pension consulting services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2025.
View current Form ADV (SEC/IAPD) ↗