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Paladin Research Report For:

Smallwood Wealth

AIF®CFP®
199 Broad Street
Red Bank, NJ 07701
732-542-1565
Visit Website
smallwoodwealth.com

About Smallwood Wealth

The planning process is crucial to providing clients with the greatest probability of achieving their financial goals. We start by getting to know your ambitions, your needs, and the challenges you face, then we design a mutually agreed upon plan, set it in motion, and monitor it regularly to ensure that the plan evolves as you do.

Our aspiration is to construct a custom financial plan that strives to minimize your risk and taxes, grow your wealth, and help you achieve financial independence with the lifestyle you've dreamed of.

At Smallwood Wealth Management we are committed to empowering you on your journey towards financial freedom. Our dedicated team of financial advisors are here to guide you every step of the way, ensuring that your financial decisions align with your values and goals. We believe that financial well-being goes beyond mere numbers on a balance sheet - it is about creating a life of abundance and security that enables you to pursue your dreams.

Financial opportunities are abundant but navigating them can be complex. That's why our team of experienced professionals is dedicated to staying ahead of the latest market trends, investment strategies, and tax regulations. We keep a watchful eye on the ever-changing financial landscape, identifying opportunities that align with your goals and risk tolerance. We aim to help you capitalize on these opportunities and make informed decisions that will maximize your wealth.

See Disclosures

General Information

Firm Start Year
  • 1989
No. of Employees
  • 10-19
automated call
  • Yes
Firm CRD#
  • 288663
States Licensed in
  • All
Years of Experience in Financial Services
  • 35
Number of Years with Current Firm
  • 35
Work with the following types of clients
  • Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
  • Investment Advice & Management, Financial Advice & Consulting, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Money Management

Compliance

Registered Investment Advisor
  • Yes
Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • I have a clean record
Criminal Disclosures in Last 5 years
  • I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • CFP®, AIF®
Securities Licenses
  • Series 7, Series 66
Insurance and Annuity Licenses
  • Disability, Life, Long Term Care, Variable Life

Firm Information

Firm's Number of Clients
  • 367
Firm's Number of Managed Clients
  • 400
Assets Managed by Firm
  • 262,000,000
Advisor's Number of Managed Clients
  • 700

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $150,000
Compensation Methods
  • Flat Fee, Commissions, Based on Assets
Minimum Fee Charged for Managed Accounts
  • N/A
Minimum Fee Charged for Hourly Planning Accounts
  • N/A

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1892633/paladinregistry-Smallwood-Wealth-detailed-disclosure.html

Disclaimer

This communication strictly intended for individuals residing in the states of CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, ME, NC, NH, NJ, NY, OH, PA, RI, SC, TX, UT, VA. No offers may be made or accepted from any resident outside these states due to various regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Fixed Insurance products and services offered through Ash Brokerage or Smallwood Associates, Ltd. Fixed Annuities are long-term insurance products. Before you purchase, be sure to talk to your financial professional about the annuitys features, benefits, and fees and whether the annuity is appropriate for you, based on your financial situation and objectives. All guarantees are based on the continued claims paying ability of the issuing company. Investment Advisory Services provided by Smallwood Wealth Investment Management, LLC, an SEC registered investment advisor. Headquartered at 199 Broad Street, Red Bank NJ 07701-2056 Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and Smallwood Wealth Investment Management, LLC are not affiliated companies. NOT FDIC INSURED. NOT BANK GUARANTEED. MAY LOSE VALUE, INCLUDING LOSS OF PRINCIPAL. NOT INSURED BY ANY STATE OR FEDERAL AGENCY.