AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.3 |
| Non-Discretionary | $0.0 |
| Total | $0.3 |
| Client | AUM |
|---|---|
| Retail | $0.3 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 296 | $0.1 |
| Average Individual AUM | $271,057 | |
| HNW | 107 | $0.2 |
| Average HNW AUM | $1,981,578 | |
| Retail Total | 403 | $0.3 |
| Average Retail AUM | $725,215 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $2.6 |
| PERSHING ADVISOR SOLUTIONS LLC | JERSEY CITY-NJ-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.3 |
| Retail SMA AUM | $0.3 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 53% | $0.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 38% | $0.1 |
| Other Pools | 0% | $0.0 |
| Cash | 7% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
7 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN SMALLWOOD | RED BANK | NJ | S66|2023-07-07 | ||||||
| ROBERT MARKS | RED BANK | NJ | S66|2021-08-04 | CERTIFIED FINANCIAL PLANNER | |||||
| EDWARD BAO | RED BANK | NJ | S66|2008-12-10 | CERTIFIED FINANCIAL PLANNER | |||||
| TRACI KELLY | RED BANK | NJ | S63|2010-05-20|S65|2022-06-17 | ||||||
| JOHN SMALLWOOD | RED BANK | NJ | S63|1992-09-28|S65|2006-05-09 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER SMALLWOOD | RED BANK | NJ | S66|2023-03-14 | ||||||
| CHRISTINE FLYNN | RED BANK | NJ | S65|2016-01-08 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.3 | $0.0 | 0% | 12 | 0 | 0% |
| 2025-04-21 | $0.3 | $0.0 | 0% | 12 | 0 | 0% |
| 2024-04-02 | $0.3 | $0.0 | 12% | 7 | 5 | 71% |
| 2023-04-04 | $0.2 | $0.0 | 19% | 7 | 5 | 71% |
| 2022-04-01 | $0.2 | $0.1 | 27% | 2 | 10 | 500% |
| 2021-04-05 | $0.2 | $0.1 | 52% | 2 | 10 | 500% |
| 2020-04-01 | $0.2 | $0.1 | 71% | 2 | 10 | 500% |
| 2019-04-01 | $0.1 | $0.2 | 164% | 2 | 10 | 500% |
| 2018-04-02 | $0.1 | $0.2 | 126% | 2 | 10 | 500% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NJ, FL-06/16/2017, GA-06/16/2017, NC-07/20/2022, NH-11/06/2017, NJ-07/07/2017, NY-11/06/2017, PA-10/03/2023, SC-06/30/2023, TX-02/25/2021, VA-03/03/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV