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Mark Smith Financial Services
Mark Smith Financial Services, Inc. is a state-registered investment adviser in Thousand Oaks, CA. The firm manages $108 million in assets, $106 million on a...
Overview
Mark Smith Financial Services, Inc. is a state-registered investment adviser in Thousand Oaks, CA. The firm manages $108 million in assets, $106 million on a discretionary basis. It has 3 employees and 1 investment adviser.
General information
Firm type
Asset Manager
Location
Region
North America
Country
United States
Principals
Mark Smith
Founder
Frequently asked questions
Is Mark Smith Financial Services affiliated with a larger bank or wirehouse?
No, based on available public record, Mark Smith Financial Services, Inc. is an independent entity. Unlike wirehouse advisors who operate under the umbrella of firms like Merrill Lynch or UBS, this entity is self-contained, with Mark Smith maintaining full equity ownership and operational control over the practice.
What is the investment philosophy driving the firm's strategy?
While a specific published philosophy is not available, firms of this profile—led personally by their founder—usually employ a conservative, goal-oriented investment process. It is reasonable to infer a focus on capital preservation, income generation, and market-cycle risk management, implemented through diversified assignments in equities and fixed income.
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