# EDGAR Filing Document

**Accession Number:** 0001921304
**File Stem:** 0001921304-23-000001
**Filing Date:** 2023-2
**Character Count:** 11005
**Document Hash:** 232dd3fcb059225ef31a241d830edded
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001921304-23-000001.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001921304-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Smallwood Wealth Investment Management, LLC
- **CENTRAL INDEX KEY:** 0001921304
- **IRS NUMBER:** 821589693
- **STATE OF INCORPORATION:** NJ
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-22400
- **FILM NUMBER:** 23624705

**BUSINESS ADDRESS:**
- **STREET 1:** 199 BROAD STREET
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701
- **BUSINESS PHONE:** 732-542-1565

**MAIL ADDRESS:**
- **STREET 1:** 199 BROAD STREET
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Smallwood Wealth Investment Management LLC<br>**Address:** 199 Broad Street<br>Red Bank, NJ 07701

**Form 13F File Number:** 028-22400

**CRD Number (if applicable):** 000288663

**SEC File Number (if applicable):** 801-110658

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** John L. Smallwood<br>**Title:** CCO<br>**Phone:** 732-542-1565

**Signature, Place, and Date of Signing:**

/s/ John L. Smallwood  Red Bank, NJ  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 75

**Form 13F Information Table Value Total:** $118159827

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBVIE INC | COM | 00287Y109 |  | 421640 | 2609 | SH |  | SOLE |  | 2609 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 993776 | 11200 | SH |  | SOLE |  | 11200 | 0 | 0 |
| ALTRIA GROUP INC | COM | 02209S103 |  | 476157 | 10417 | SH |  | SOLE |  | 10416 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 252000 | 3000 | SH | Call | SOLE |  | 0 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 786576 | 9364 | SH |  | SOLE |  | 9364 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 12644272 | 97316 | SH |  | SOLE |  | 97316 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 633546 | 34413 | SH |  | SOLE |  | 34413 | 0 | 0 |
| BANK AMERICA CORP | COM | 060505104 |  | 300928 | 9086 | SH |  | SOLE |  | 9086 | 0 | 0 |
| BOEING CO | COM | 097023105 |  | 840251 | 4411 | SH |  | SOLE |  | 4411 | 0 | 0 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 607539 | 8444 | SH |  | SOLE |  | 8443 | 0 | 0 |
| CAPITAL GROUP DIVIDEND VALUE | SHS CREATION UNI | 14020W106 |  | 2248410 | 95312 | SH |  | SOLE |  | 95312 | 0 | 0 |
| CAPITAL GROUP GBL GROWTH EQT | SHS CREATION UNI | 14020X104 |  | 1897518 | 90315 | SH |  | SOLE |  | 90315 | 0 | 0 |
| CATERPILLAR INC | COM | 149123101 |  | 202318 | 845 | SH |  | SOLE |  | 844 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 979041 | 5455 | SH |  | SOLE |  | 5454 | 0 | 0 |
| COLGATE PALMOLIVE CO | COM | 194162103 |  | 366295 | 4649 | SH |  | SOLE |  | 4649 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 |  | 402260 | 11503 | SH |  | SOLE |  | 11503 | 0 | 0 |
| CVS HEALTH CORP | COM | 126650100 |  | 217113 | 2330 | SH |  | SOLE |  | 2329 | 0 | 0 |
| DISNEY WALT CO | COM | 254687106 |  | 551080 | 6343 | SH |  | SOLE |  | 6343 | 0 | 0 |
| EA SERIES TRUST | FREEDOM 100 EM | 02072L607 |  | 2336209 | 84722 | SH |  | SOLE |  | 84722 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 1943755 | 17622 | SH |  | SOLE |  | 17622 | 0 | 0 |
| FLEXSHARES TR | MORNSTAR UPSTR | 33939L407 |  | 1304232 | 30003 | SH |  | SOLE |  | 30003 | 0 | 0 |
| FS CREDIT OPPORTUNITIES CORP | COMMON STOCK | 30290Y101 |  | 127695 | 27112 | SH |  | SOLE |  | 27111 | 0 | 0 |
| FS KKR CAP CORP | COM | 302635206 |  | 451920 | 25824 | SH |  | SOLE |  | 25824 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 464314 | 1470 | SH |  | SOLE |  | 1470 | 0 | 0 |
| INDEXIQ ETF TR | IQ CHAIKIN US | 45409B396 |  | 2821097 | 88483 | SH |  | SOLE |  | 88483 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 323703 | 12248 | SH |  | SOLE |  | 12247 | 0 | 0 |
| INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 |  | 4014757 | 39134 | SH |  | SOLE |  | 39134 | 0 | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 497110 | 3528 | SH |  | SOLE |  | 3528 | 0 | 0 |
| INVENTRUST PPTYS CORP | COM NEW | 46124J201 |  | 286633 | 12110 | SH |  | SOLE |  | 12109 | 0 | 0 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 |  | 923040 | 8755 | SH |  | SOLE |  | 8755 | 0 | 0 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 |  | 3854264 | 36526 | SH |  | SOLE |  | 36526 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 544875 | 3125 | SH |  | SOLE |  | 3125 | 0 | 0 |
| ISHARES TR | CORE S TTL STK | 464287150 |  | 28148317 | 331938 | SH |  | SOLE |  | 331937 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 46641Q332 |  | 631385 | 11587 | SH |  | SOLE |  | 11587 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 571507 | 3235 | SH |  | SOLE |  | 3235 | 0 | 0 |
| JPMORGAN CHASE  CO | ALERIAN ML ETN | 46625H365 |  | 1267068 | 58256 | SH |  | SOLE |  | 58256 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 414905 | 3094 | SH |  | SOLE |  | 3094 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 303083 | 623 | SH |  | SOLE |  | 623 | 0 | 0 |
| LOWES COS INC | COM | 548661107 |  | 432550 | 2171 | SH |  | SOLE |  | 2171 | 0 | 0 |
| M  T BK CORP | COM | 55261F104 |  | 2633999 | 18158 | SH |  | SOLE |  | 18158 | 0 | 0 |
| MERCK  CO INC | COM | 58933Y105 |  | 2112559 | 19041 | SH |  | SOLE |  | 19040 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 1597316 | 6660 | SH |  | SOLE |  | 6660 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 |  | 817524 | 12266 | SH |  | SOLE |  | 12265 | 0 | 0 |
| MORGAN STANLEY | COM NEW | 617446448 |  | 204303 | 2403 | SH |  | SOLE |  | 2403 | 0 | 0 |
| MOTOROLA SOLUTIONS INC | COM NEW | 620076307 |  | 241524 | 937 | SH |  | SOLE |  | 937 | 0 | 0 |
| MULLEN AUTOMOTIVE INC | COM | 62526P109 |  | 3432 | 12000 | SH |  | SOLE |  | 12000 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 |  | 239737 | 813 | SH |  | SOLE |  | 813 | 0 | 0 |
| NEW JERSEY RES CORP | COM | 646025106 |  | 628768 | 12672 | SH |  | SOLE |  | 12671 | 0 | 0 |
| NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 |  | 163737 | 14490 | SH |  | SOLE |  | 14490 | 0 | 0 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 310986 | 2128 | SH |  | SOLE |  | 2128 | 0 | 0 |
| ORACLE CORP | COM | 68389X105 |  | 206884 | 2531 | SH |  | SOLE |  | 2531 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 808263 | 4474 | SH |  | SOLE |  | 4473 | 0 | 0 |
| PFIZER INC | COM | 717081103 |  | 349638 | 6824 | SH |  | SOLE |  | 6823 | 0 | 0 |
| PGIM ETF TR | PGIM ULTRA SH BD | 69344A107 |  | 1564424 | 31862 | SH |  | SOLE |  | 31862 | 0 | 0 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 1863361 | 18411 | SH |  | SOLE |  | 18410 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 1428550 | 9426 | SH |  | SOLE |  | 9425 | 0 | 0 |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 744573106 |  | 332145 | 5421 | SH |  | SOLE |  | 5421 | 0 | 0 |
| PUTNAM MANAGED MUN INCOME TR | COM | 746823103 |  | 74139 | 11806 | SH |  | SOLE |  | 11805 | 0 | 0 |
| SCHWAB CHARLES FAMILY FD | AMT TAX FREE MNY | 808515530 |  | 2545450 | 2545450 | SH |  | SOLE |  | 2545450 | 0 | 0 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 |  | 1069952 | 33218 | SH |  | SOLE |  | 33218 | 0 | 0 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 |  | 223423 | 4986 | SH |  | SOLE |  | 4986 | 0 | 0 |
| SPDR SER TR | PRTFLO S VL | 78464A508 |  | 288603 | 7421 | SH |  | SOLE |  | 7421 | 0 | 0 |
| SPDR SER TR | PORTFLI TIPS ETF | 78464A656 |  | 269291 | 10454 | SH |  | SOLE |  | 10453 | 0 | 0 |
| SPDR SER TR | DJ REIT ETF | 78464A607 |  | 942899 | 10819 | SH |  | SOLE |  | 10819 | 0 | 0 |
| TESLA INC | COM | 88160R101 |  | 249440 | 2025 | SH |  | SOLE |  | 2025 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 202654 | 368 | SH |  | SOLE |  | 368 | 0 | 0 |
| VALLEY NATL BANCORP | COM | 919794107 |  | 641447 | 56715 | SH |  | SOLE |  | 56715 | 0 | 0 |
| VANGUARD BD INDEX FDS | INTERMED TERM | 921937819 |  | 4212309 | 56678 | SH |  | SOLE |  | 56678 | 0 | 0 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 |  | 5787253 | 30270 | SH |  | SOLE |  | 30269 | 0 | 0 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 820379 | 2335 | SH |  | SOLE |  | 2335 | 0 | 0 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 5503715 | 40696 | SH |  | SOLE |  | 40695 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 |  | 441282 | 8801 | SH |  | SOLE |  | 8801 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 309329 | 7851 | SH |  | SOLE |  | 7851 | 0 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 540839 | 2603 | SH |  | SOLE |  | 2603 | 0 | 0 |
| WISDOMTREE TR | INTL EQUITY FD | 97717W703 |  | 2047134 | 43519 | SH |  | SOLE |  | 43519 | 0 | 0 |

---