Data / Investment advisers / New Jersey / Smallwood Wealth Management
Smallwood Wealth Management, Red Bank, NJ: $339 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Smallwood Wealth Management is an SEC registered investment adviser with its main office in Red Bank, New Jersey and reports $339 million in regulatory assets under management in its Form ADV filed March 13, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Smallwood Wealth Management (CRD number 288663): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 288663
- SEC file number
- 801-110658
- SEC status
- Approved, effective June 16, 2017
- Legal name
- Smallwood Wealth Investment Management, LLC
- Main office
- 199 Broad Street, Red Bank, NJ 07701
- Phone
- (732) 542-1565
- Regulatory AUM
- $338,980,176 in the Form ADV filed March 13, 2026
- Discretionary AUM
- $338,980,176
- Accounts
- 1,119
- Employees
- 12, of which 5 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 13, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 110 | $196.1 million |
| Individuals (other than high net worth individuals) | 331 | $104.2 million |
| Corporations or other businesses | 11 | $34.2 million |
| Charitable organizations | 3 | $2.4 million |
| Pension and profit sharing plans | 3 | $2.1 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $339 million | March 13, 2026 |
| December 1, 2025 | $294.5 million | November 26, 2025 |
Other advisers in Red Bank
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Garden State Investment Advisory Services, LLC | Red Bank | $673.8 million | Not listed | adviserinfo.sec.gov |
| Clear Wave Wealth Management, LLC | Red Bank | $617 million | Not listed | adviserinfo.sec.gov |
| Shorehaven Wealth Partners, LLC | Red Bank | $541.5 million | Not listed | adviserinfo.sec.gov |
| Wbi Investments, LLC | Red Bank | $539.6 million | Not listed | adviserinfo.sec.gov |
| Princeton Capital Management LLC | Red Bank | $435.5 million | 2 | adviserinfo.sec.gov |
| Salvus Wealth Management, LLC | Red Bank | $316.5 million | Not listed | adviserinfo.sec.gov |
| Delta Capital Management LLC | Red Bank | $240.2 million | Not listed | adviserinfo.sec.gov |
| Alexander Capital Wealth Management LLC | Red Bank | $238.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Red Bank, NJ
- Investment advisers in New Jersey
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Smallwood Wealth Management on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.