← Tributary

SMALLWOOD WEALTH MANAGEMENT

RED BANK, NJ · CRD 288663 · IAPD ↗ · (732) 542-1565

$339.0MRegulatory AUM
5Advisory reps
12Employees
0Clients
251-500Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — SMALLWOOD WEALTH MANAGEMENT shrank from 8 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
68
April 2026 — SMALLWOOD WEALTH MANAGEMENT now reports custody of client assets ($175.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
December 2025 — SMALLWOOD WEALTH MANAGEMENT shrank from 12 to 8 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
72
April 2025 — SMALLWOOD WEALTH MANAGEMENT grew from 8 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.