Chief Compliance Officer · Smallwood Wealth Management
John L. Smallwood
CRD 2132725 · Named on Form ADV at one SEC-registered adviser
At a glance
Smallwood Wealth Management, an SEC-registered wealth manager based in Red Bank, NJ with $339 million in regulatory assets, lists John L. Smallwood on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Smallwood Wealth ManagementChief Compliance OfficerWealth manager · Red Bank, NJ · $339M in regulatory assets
AtlasMembers
John’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
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- When each role began
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For John’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.