Mark Smith Financial Services, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$104,524,353
Clients
124
Advisors
1
of 3 employees
About
The firm provides investment supervisory services and financial planning to individuals (including high-net-worth clients) as well as pension and profit-sharing plans, trusts, estates, charitable organizations, corporations, and other business entities. Financial planning is offered as comprehensive or limited-scope work and can be delivered as a standalone engagement or integrated into ongoing portfolio management.
MSFS manages individually tailored, primarily discretionary portfolios built around an asset-allocation plan and uses fundamental analysis to evaluate securities, with both long‑term and shorter‑term strategies and an emphasis on diversification and regular account review. Clients may impose reasonable investment restrictions, and the firm recently revised its practice to no longer accept new non-discretionary engagements.
A distinctive feature is the firm’s affiliation with an accounting practice under common ownership; the principal devotes a substantial portion of time to that accounting firm (about 60%) and the two entities may refer clients to one another while keeping services and agreements separate. The firm also does not participate in wrap-fee programs, does not charge performance-based fees, and typically leaves proxy voting to clients unless a separate agreement is in place.
Client services
Expertise
Fee options
Limited-scope financial planning flat fees, payable in two installments; fixed fees for comprehensive planning determined case-by-case.
$0 - $1,000,000: 1.00% Over $1,000,000+: 0.50%
Advisor hourly rate: $545 plus expenses; Support staff hourly rate: $170 plus expenses.
Fee-only: Financial planning fees offered on fixed fee or hourly basis; fees negotiable.
Main office
925 Broadbeck Drive, Suite 230
Thousand Oaks CA 91320
Advisors at this office
1
Most active in
California
Also doing business as
Mark Smith Financial Services · Mark Smith Financial Services, Inc. · Smith, Robert Mark
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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