Mark Small
Mark Small is a registered investment advisor at Kestra Advisory Services, LLC, based in Dallas, TX, with 19 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 97,702 clients with $60B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kestra Advisory Services' (Kestra AS) fees for managing your investments are a percentage of the value of your portfolio, up to a maximum of 2.5% per year. The exact percentage is determined by your advisor based on factors like the size of your account, the type of account (e.g., retirement), the services you receive, and the platform you choose. These fees are negotiable.
Kestra AS offers different advisory platforms with varying program fees that are deducted from the client fee you negotiate with your advisor. These platforms include AdvisorEnterprise, Horizon, and AdvisorChoice. Each platform has different features, costs, and minimum account sizes.
There are also third-party managed solutions available through platforms like Focus Partners Advisor Solutions, Symmetry Partners, SEI and AssetMark.
Location
Dallas, TX
Get directionsHistory
Regulatory History (2)
Regulatory
March 2007Regulatory
June 2004Other Business ActivitiesSells Insurance
Mark is a CPA and owner of Mark Small, CPA, providing tax and accounting services, dedicating minimal time to this. He is also an Investment Advisor Representative and Insurance Agent for Halcyon Wealth Advisors, LLC and COWTOWN FINANCIAL PLANNING, spending nearly full-time on these activities, and an Investment Advisor Representative for Kestra Advisory Services, LLC, also potentially full-time. Mark owns rental property, dedicating minimal time to it.
Employment History
Current Registrations
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Previous Registrations
NFP Advisor Services, LLC
NFP Securities, INC.
Legacy Harbor
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.