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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M. J. SMITH AND ASSOCIATES

CRD 110919

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e8cff5b-8801-d7c6-35be-b825f4728d9a

Data as of Jul 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 0
Observed: Feb 29, 2012 to Jul 30, 2020
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $886MItem 5.F on the latest filing (2020-07-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $806M
Private client RAUM: $872MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,784
Individual clients: 263
High net worth clients: 222
SEC number: 801-19409
CRD: 110919
Filings on the tape: 13
First filed: Feb 29, 2012
Latest filed: Jul 30, 2020
Organised: Corporation, Colorado

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MERCER GLOBAL ADVISORS INC.	PARENT COMPANY	E	yes	06/2020	Jul 30, 2020	Jul 30, 2020
JACOBSEN, THOMAS, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	11/2011	Feb 29, 2012	Jul 30, 2020
SMITH, MARK, JOSEPH	Principal	Na	no	10/1983	Feb 29, 2012	Jul 30, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 18, 2020	$886M	$806M	7	6	0	n/a	n/a
2018	Mar 28, 2019	$662M	$649M	8	7	0	n/a	n/a
2017	Mar 28, 2018	$725M	$725M	7	5	0	n/a	n/a
2016	Feb 10, 2017	$690M	$690M	13	4	n/a	n/a	n/a
2015	Mar 29, 2016	$692M	$692M	15	6	n/a	n/a	n/a
2014	Mar 11, 2015	$771M	$493M	13	6	n/a	n/a	n/a
2013	Mar 5, 2014	$724M	$576M	12	5	n/a	n/a	n/a
2012	Mar 26, 2013	$700M	$545M	14	7	n/a	n/a	n/a
2011	Mar 28, 2012	$542M	$357M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$886M	$662M	33.9%	$690M	8.7%	7	8	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	5	Mar 29, 2021	Jul 29, 2020	GREENWOOD VILLAGE, CO	Firm absorbed	RIA to RIA	100.0%
INTEGRITY WEALTH SOLUTIONS LLC	2	Jul 29, 2016	Aug 30, 2016	GREENWOOD VILLAGE, CO	Team lift out	Other	50.0%

Relationships

Owns (2)

← SMITH, MARK, JOSEPHOwnerPRINCIPAL, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← JACOBSEN, THOMAS, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV

Controls (1)

← MERCER GLOBAL ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Jul 30, 2020 to presentfactForm ADV

Registered with (12)

← Drew HarperAdvisorregistration: previous registration
Mar 3, 2011 to Mar 29, 2021factForm ADV
← ALEXA JO KANEAdvisorregistration: previous registration
Nov 1, 2017 to Mar 29, 2021factForm ADV
← ANDREW THOMAS BARNESAdvisorregistration: previous registration
Nov 1, 2017 to Mar 29, 2021factForm ADV
← BRITTANY ELLEN RICEAdvisorregistration: previous registration
Feb 27, 2020 to Mar 29, 2021factForm ADV
← Jacob Martin JaegleAdvisorregistration: previous registration
Aug 30, 2018 to Mar 29, 2021factForm ADV
← MCKENZIE LYNN EBBESENAdvisorregistration: previous registration
May 6, 2013 to May 29, 2018factForm ADV
← JUSTINA RENEE WELCHAdvisorregistration: previous registration
Dec 14, 2012 to Jul 29, 2016factForm ADV
← CLINT PAUL THOMASAdvisorregistration: previous registration
Dec 14, 2012 to Jul 29, 2016factForm ADV
← MICHAEL THOMAS OSEROWAdvisorregistration: previous registration
Dec 14, 2012 to Nov 22, 2013factForm ADV
← JAMES DANIEL OSBORNEAdvisorregistration: previous registration
Mar 3, 2011 to Sep 17, 2012factForm ADV
← Brian Douglas EilersAdvisorregistration: previous registration
Mar 21, 2006 to Nov 28, 2011factForm ADV
← DENNIS ERROL COLLINSAdvisorregistration: previous registration
Jan 1, 1999 to Oct 21, 2004factForm ADV

Moved with (2)

→ MERCER GLOBAL ADVISORS INC.Registered adviser5 advisors, firm absorbed, same day
Mar 29, 2021 to Jul 29, 2020factForm ADV
→ INTEGRITY WEALTH SOLUTIONS LLCRegistered adviser2 advisors, team lift out, same day
Jul 29, 2016 to Aug 30, 2016factForm ADV

Dated events

Occurred
Mar 18, 2020
Regulatory AUM changed
M. J. Smith And Associates reported RAUM $886.1M, up 34% from $661.7M (2019-03-28 to 2020-03-18)
Form ADVobserved 6 days ago
$224M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e8cff5b-8801-d7c6-35be-b825f4728d9a
First observed: Feb 29, 2012
Last observed: Jul 30, 2020 74 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

M. J. SMITH AND ASSOCIATES

CRD 110919

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e8cff5b-8801-d7c6-35be-b825f4728d9a

Data as of Jul 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MERCER GLOBAL ADVISORS INC.

PARENT COMPANY

yes

06/2020

Jul 30, 2020

JACOBSEN, THOMAS, JOSEPH

CHIEF COMPLIANCE OFFICER

11/2011

Feb 29, 2012

Jul 30, 2020

SMITH, MARK, JOSEPH

Principal

10/1983

Feb 29, 2012

Jul 30, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 18, 2020

$886M

$806M

n/a

2018

Mar 28, 2019

$662M

$649M

n/a

2017

Mar 28, 2018

$725M

n/a

2016

Feb 10, 2017

$690M

n/a

2015

Mar 29, 2016

$692M

n/a

2014

Mar 11, 2015

$771M

$493M

n/a

2013

Mar 5, 2014

$724M

$576M

n/a

2012

Mar 26, 2013

$700M

$545M

n/a

2011

Mar 28, 2012

$542M

$357M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$886M

$662M

33.9%

$690M

8.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Mar 29, 2021

Jul 29, 2020

GREENWOOD VILLAGE, CO

Firm absorbed

RIA to RIA

100.0%

INTEGRITY WEALTH SOLUTIONS LLC

Jul 29, 2016

Aug 30, 2016

GREENWOOD VILLAGE, CO

Team lift out

Other

50.0%