Evan M. Smallwood

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CRD#: 4825348

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Evan Michael Smallwood was a registered financial professional .

Evan is a previously registered financial professional and started their career in finance in 2005. Evan had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 16, 2013 - September 4, 2018

CBF ADVISORS, LLC

RIA

CRD#: 134079

MALVERN, PA

Past

January 3, 2006 - November 11, 2019

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

Malvern, PA

Past

January 7, 2005 - November 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WEST CHESTER, PA

Past

January 7, 2005 - November 11, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 7, 2005 - November 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CBF ADVISORS, LLC

CBF ADVISORS, LLC | PRINCETON MANAGED ASSETS, LLC | CLEARBROOK RESEARCH | CLEARBROOK ADVISORS

CRD#: 134079 / SEC#: 801-117294

RIA

Registered Investment Advisory firm - (9/3/2019 Approved)

New Jersey

Registered Investment Advisory firm - (9/26/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/28/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/17/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/8/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/2008

General Securities Principal Examination

Current Firm

CBF ADVISORS, LLC

CBF ADVISORS, LLC | PRINCETON MANAGED ASSETS, LLC | CLEARBROOK RESEARCH | CLEARBROOK ADVISORS

CRD#: 134079 / SEC#: 801-117294

RIA

Registered Investment Advisory firm - (9/3/2019 Approved)

New Jersey

Registered Investment Advisory firm - (9/26/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/5/2018 Terminated)

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Contact information

Main Address

21 West 46th Street, Suite 1507, New York, NY 10036

Mailing Address

Phone number

(212) 359-0290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CBF ADVISORS BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 46,625,534

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Evan M. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MANAGED ACCOUNT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CBF ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2005

Series 53

Date: 11/17/2010

Series 4

Date: 12/8/2009

Series 24

Date: 7/25/2008

Current Firm

CBF ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CBF ADVISORS, LLC

TRUST BUT VERIFY

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