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Smallwood Wealth Investment Management, LLC — 13F Holdings & Portfolio

CIK 1921304 · latest 13F-HR filed 2026-07-23

Backtest portfolio

Smallwood Wealth Investment Management, LLC manages $228.9M in 13F-reported U.S. long-equity assets across 529 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are ITOT (24.95%), AAPL (5.75%), VTI (4.88%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 30 new positions and exited 28; 250 existing positions rose in reported value and 125 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$228.9M

Long-equity book

Holdings
529

Distinct positions

Period
2026-06-30

Filed 2026-07-23

Q/Q Activity
+30 / −28 / ↑250 / ↓125

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
ITOT25.0% · +2%AAPL5.8% · -1%VTI4.9% · -0%DBEF4.8% · newVOE3.9% · +2%FRDM3.7% · +0%HELO3.2% · +20%CGDV3.0% · +9%PULS3.0% · +26%CGGO2.2% · +2%MMIT1.9% · +11%DWM1.9% · +2%ICE1.8% · -1%VDE1.5% · +2%AMJB1.4% · +2%PM1.2% · -1%NVDA1.2% · +1%GUNR1.1% · +1%GOOG1.1% · +0%RZV1.1% · +6%JEPQ1.1% · +4%JCPB1.0% · +20%RWR0.9% · +3%MUB0.8% · -2%MSFT0.8% · -1%XOM0.8% · +1%IBM0.7% · 0%SCHF0.7% · -0%JEPI0.6% · +14%PG0.5% · -1%VOO0.5% · -2%CAT0.5% · 0%AMZN0.4% · +3%KLAC0.4% · newLLY0.4% · +247%CVX0.3% · -0%JPM0.3% · -1%VEU0.3% · -1%ABBV0.3% · -0%AVGO0.3% · -15%HD0.3% · -0%MDLZ0.3% · 0%JNJ0.3% · 0%NJR0.3% · +0%BUFR0.2% · newPGNY0.2% · -20%NFLX0.2% · -1%DIS0.2% · -0%IWM0.2% · +0%MRVL0.2% · +1%MU0.2% · +1%JPIB0.2% · +17%IJAN0.2% · newMS0.2% · +4%BR0.2% · -3%PEG0.2% · 0%MRK0.2% · +6%AMGN0.2% · +34%VLY0.2% · 0%MO0.2% · 0%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 59.4%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 13, 2026.

Assets Under Management
$339.0M
Discretionary
$339.0M
Employees
12
Accounts
1,119
Address
199 BROAD STREET
RED BANK, NJ 07701
Phone
(732) 542-1565
Website
Name Title / Status Ownership Type
JOHN L. SMALLWOOD, SR INVESTMENT TRUST ControlMEMBER
since Jun 2017
75% or moreDomestic Entity
SMALLWOOD, JOHN, LEWIS ControlCHIEF COMPLIANCE OFFICER
since May 2017
Less than 5%Individual
SMALLWOOD, JOHN, LEWIS Control
Indirect owner via JOHN L. SMALLWOOD, SR INVESTMENT TRUST
TRUSTEE
since Jun 2017
75% or moreIndividual
Ownership & leadership changes · 1 filing with changes since May 18, 2017

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Jun 19, 2017 filing
  • AddedJOHN L. SMALLWOOD, SR INVESTMENT TRUST · MEMBER · 75% or more · control person
  • AddedSMALLWOOD, JOHN, LEWIS · TRUSTEE · 75% or more · indirect via JOHN L. SMALLWOOD, SR INVESTMENT TRUST · control person
  • ChangedSMALLWOOD, JOHN, LEWIS · title MANAGING MEMBER & CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER; ownership 50–75% → Less than 5%
May 18, 2017 filing (earliest on record)
  • ListedSMALLWOOD, JOHN, LEWIS · MANAGING MEMBER & CHIEF COMPLIANCE OFFICER · 50–75% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Smallwood Wealth Investment Management, LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR ITOT 464287150 $57.1M 24.95% 347,654 SH
2 APPLE INC AAPL 037833100 $13.2M 5.75% 45,493 SH
3 VANGUARD INDEX FDS VTI 922908769 $11.2M 4.88% 30,179 SH
4 DBX ETF TR DBEF 233051200 $11.1M 4.83% 202,503 SH
5 VANGUARD INDEX FDS VOE 922908512 $8.9M 3.90% 45,164 SH
6 EA SERIES TRUST FRDM 02072L607 $8.5M 3.70% 116,318 SH
7 J P MORGAN EXCHANGE TRADED F HELO 46654Q724 $7.2M 3.15% 106,768 SH
8 CAPITAL GROUP DIVIDEND VALUE CGDV 14020W106 $7.0M 3.04% 141,238 SH
9 PGIM ETF TR PULS 69344A107 $6.9M 3.03% 140,180 SH
10 CAPITAL GROUP GBL GROWTH EQT CGGO 14020X104 $5.0M 2.17% 117,463 SH
11 NEW YORK LIFE INVTS ACTIVE E MMIT 45409F827 $4.4M 1.94% 182,366 SH
12 WISDOMTREE TR DWM 97717W703 $4.3M 1.89% 59,018 SH
13 INTERCONTINENTAL EXCHANGE IN ICE 45866F104 $4.2M 1.82% 33,758 SH
14 VANGUARD WORLD FD VDE 92204A306 $3.5M 1.53% 23,274 SH
15 JPMORGAN CHASE FINL CO LLC AMJB 48133Q309 $3.2M 1.41% 93,326 SH
16 PHILIP MORRIS INTL INC PM 718172109 $2.9M 1.25% 15,815 SH
17 NVIDIA CORPORATION NVDA 67066G104 $2.8M 1.20% 13,744 SH
18 FLEXSHARES TR GUNR 33939L407 $2.6M 1.12% 52,035 SH
19 ALPHABET INC GOOG 02079K107 $2.6M 1.12% 7,242 SH
20 INVESCO EXCHANGE TRADED FD T RZV 46137V167 $2.5M 1.09% 16,764 SH
21 J P MORGAN EXCHANGE TRADED F JEPQ 46654Q203 $2.5M 1.09% 40,644 SH
22 J P MORGAN EXCHANGE TRADED F JCPB 46641Q670 $2.4M 1.04% 50,655 SH
23 SPDR SERIES TRUST RWR 78464A607 $2.0M 0.87% 17,627 SH
24 ISHARES TR MUB 464288414 $1.9M 0.82% 17,531 SH
25 MICROSOFT CORP MSFT 594918104 $1.8M 0.80% 4,913 SH
26 EXXON MOBIL CORP XOM 30231G102 $1.7M 0.75% 12,577 SH
27 INTERNATIONAL BUSINESS MACHS IBM 459200101 $1.6M 0.72% 5,831 SH
28 SCHWAB STRATEGIC TR SCHF 808524805 $1.5M 0.66% 54,865 SH
29 J P MORGAN EXCHANGE TRADED F JEPI 46641Q332 $1.4M 0.63% 25,631 SH
30 PROCTER & GAMBLE CO PG 742718109 $1.2M 0.53% 8,346 SH
31 VANGUARD INDEX FDS VOO 922908363 $1.1M 0.49% 1,640 SH
32 CATERPILLAR INC CAT 149123101 $1.1M 0.48% 1,028 SH
33 AMAZON COM INC AMZN 023135106 $998.2K 0.44% 4,188 SH
34 KLA CORP KLAC 482480100 $905.1K 0.40% 3,000 SH
35 ELI LILLY & CO LLY 532457108 $836.0K 0.37% 697 SH
36 CHEVRON CORPORATION CVX 166764100 $705.5K 0.31% 4,255 SH
37 JPMORGAN CHASE & CO JPM 46625H100 $664.2K 0.29% 2,029 SH
38 VANGUARD INTL EQUITY INDEX F VEU 922042775 $645.0K 0.28% 7,702 SH
39 ABBVIE INC ABBV 00287Y109 $627.3K 0.27% 2,493 SH
40 BROADCOM INC AVGO 11135F101 $625.3K 0.27% 1,655 SH
41 HOME DEPOT INC HD 437076102 $621.8K 0.27% 1,763 SH
42 MONDELEZ INTL INC MDLZ 609207105 $615.5K 0.27% 10,641 SH
43 JOHNSON & JOHNSON JNJ 478160104 $610.5K 0.27% 2,403 SH
44 NEW JERSEY RES CORP NJR 646025106 $596.6K 0.26% 10,646 SH
45 FIRST TR EXCHNG TRADED FD VI BUFR 33740F755 $545.9K 0.24% 14,943 SH
46 PROGYNY INC PGNY 74340E103 $533.4K 0.23% 18,500 SH
47 NETFLIX INC. NFLX 64110L106 $531.2K 0.23% 7,440 SH
48 DISNEY WALT CO DIS 254687106 $511.1K 0.22% 5,309 SH
49 ISHARES TR IWM 464287655 $509.6K 0.22% 1,696 SH
50 MARVELL TECHNOLOGY INC MRVL 573874104 $503.4K 0.22% 1,690 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-07-23 $228.9M 529 0001921304-26-000004
2026-03-31 2026-04-22 $189.7M 527 0001921304-26-000003
2025-12-31 2026-01-23 $191.0M 521 0001921304-26-000002
Filer Information
Address
199 BROAD STREET
RED BANK, NJ 07701
Phone
(732) 542-1565
Filing Manager
Smallwood Wealth Investment Management, LLC
RED BANK, NJ
Signatory
John Smallwood
Chief Compliance Officer