John Lewis Smallwood

Employer firm

Smallwood Wealth Management CRD 288663

$339M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2023 → Present
  Smallwood Wealth Management
  Red Bank, NJ
• 08/2018 → 03/2023
  Fs Investments
  Philadelphia, PA
• 06/2023 → 02/2025
  Pks Investments
  Albany, NY
• 08/2014 → 08/2018
  University Of Pennsylvania
  Philadelphia, PA
• 04/2023 → Present
  Smallwood Wealth Investment Management
  Red Bank, NJ
• 02/2025 → Present
  Regulus Financial Group, Llc
  Kentwood, MI

Other Businesses

Business Name: Smallwood Wealth Management - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Smallwood Wealth Investment Management, LLC using a DBA name - Title or Relationship: Registered Representative/Investment Advisor Representative - Start Date: 4/2023 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial services. Business Name: Smallwood Associates, LTD - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Insurance - Title or Relationship: Insurance Agent - Start Date: 4/2023 - Hours per month: 80 - Hours per month during trading hours: 70 - Duties: Provide insurance services. Business Name: Philadelphia-Whitemarsh Rugby Club - Investment Related: No - Address: 251 Foxall Ln, Berwyn, PA 19312 - Nature of Business: Non-Profit - Title or Relationship: President - Start Date: 10/2023 - Hours per month: 5 - Hours per month during trading hours: 0 - Duties: Admin work for running rugby club.

Exams

• S66 Uniform Combined State Law Examination
  2023-07-07

Other Names

• Jack Smallwood
• John Lewis Smallwood
• John Lewis Smallwood