Mark Smith Financial Services, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$104,524,353
This total excludes 6 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
124
40% high-net worth
Advisors
1
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
124
Very HighAverage account size
$842,938
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
Financial planning
Portfolio management
Expertise
College savings (529s, UTMA, etc.)
Cash flow / budgeting
General estate planning guidance
General retirement planning
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 location
Mark Smith Financial Services, Inc.
925 Broadbeck Drive, Suite 230
Thousand Oaks Drive CA 91320, United States
Number of offices
1
Most active in
Mark Smith Financial Services, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")