Mark R. Small, CPA
Financial & Investment Advisor
Mark’s 37-year tenure in the financial industry began at Arthur Andersen in Dallas in 1981. He holds a BBA from the University of Texas honors accounting program and a Master’s in Tax, also from the University of Texas. During his thirteen years at Arthur Andersen, he spent more than half that time as the national director of the firm’s Publicly Traded Partnership program. In the mid-1990s Mark left Andersen to partner in the formation of a Registered Investment Advisory firm, and in 2009 he was invited to join Clark, Waters & Hardy, LLC, a boutique shop which focuses on independent financial planning and investment advisory services for individuals and small businesses. Mark is a registered representative with Kestra Investment Services, LLC and an investment advisor representative with Kestra Advisory Services, LLC.
After nearly 20 years of striving to provide comprehensive and objective financial planning and investment portfolio management to his individual clients, and retirement plan advice and implementation (401k’s etc.) to his business clients, Mark has determined that a successful practice involves a few core principles:
- Know and Serve Your Clients. Needs change as clients grow and years pass. Financial planning and portfolio management requirements shift significantly from age 25 to age 65 and beyond. Relationships matter.
- Work with a Reliable Team. Know your core competencies. Life changes can require access to estate planners, divorce lawyers, special needs counsel, business structuring, etc. Our team includes professionals outside the walls of our office who can provide specialized support and advice.
- Value the Benefits of Independence. By partnering with and independent broker dealer (Kestra Investment Services, LLC), we have no “proprietary investment products” and aim to provide unbiased advice that is focused on our clients.
- Understand that Change is Inevitable. Whether it is technological advancement, changes in regulatory rules and governance, new investment vehicles, or client needs, it is important to have the tools to address these changes. The support of our broker dealer, ongoing education, and growth of client relationships enables us to address changes as they are presented.
- Realize that Integrity Matters. Clients value and seek trust that can only come from a relationship that is built on the integrity of all parties. Finances and investments are critical and emotional aspects of people’s lives. No one is always right, but relationships centered on trust allow for continued growth.
Mark is married and has two teenage daughters. He and his family are very supportive of children’s cancer charities and support groups such as Heroes for Children. Mark, Julie, Caroline and Liesl are members of King of Glory Lutheran Church. Mark serves on the Investment Committee of the King of Glory Foundation, which encourages members to consider gifting to the church as a key part of their legacy and estate planning. The Foundation provides annual grants to many charitable causes and needs. Mark also served on the church’s Capital Campaign Committee from 2015-2017. This committee supported a building initiative known as Building Tomorrow Together.