Patrick M. Smith

EXENCIAL WEALTH ADVISORS

Guilford, CT 06437

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CRD#: 2309088

Professional summary

Patrick Mcleod Smith, who also goes by Patrick M Smith, is a registered financial advisor currently at EXENCIAL WEALTH ADVISORS located in Guilford, Connecticut.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Patrick has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick M Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Exencial Wealth Advisors, LLC: Equity Partner / Owner, 2023 to Present Mr. Smith is an Equity Partner of less than 5% of Exencial Wealth Advisors. Mr. Smith spends 100% of his work week performing services for the firm. Mr. Smith is not engaged in any investment-related business outside of his employment at Exencial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Mcleod Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 2, 2023 - Present

EXENCIAL WEALTH ADVISORS

Office #1: 246 Goose Lane, Suite 201, Guilford, CT 06437

RIA

CRD#: 130475

Guilford, CT

Past

November 13, 2009 - March 16, 2023

SHORELINE FINANCIAL ADVISORS, LLC

RIA

CRD#: 146040

GUILFORD, CT

Past

November 23, 2001 - June 17, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

GUILFORD, CT

Past

March 2, 2001 - June 17, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GUILFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EXENCIAL WEALTH ADVISORS

CRD#: 130475 / SEC#: 801-62789

RIA

Registered Investment Advisory firm - (2/9/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/4/2024)

IAR

Connecticut
(2/2/2023)

IAR

Florida
(3/10/2023)

IAR

Massachusetts
(12/14/2023)

IAR

North Carolina
(1/4/2024)

IAR

Oklahoma
(2/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/2001

General Securities Representative Examination

Current Firm

EXENCIAL WEALTH ADVISORS

CRD#: 130475 / SEC#: 801-62789

RIA

Registered Investment Advisory firm - (2/9/2004 Approved)

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Contact information

Main Address

9108 N. Kelley Avenue, Oklahoma City, OK 73131

Mailing Address

Phone number

(405) 478-1971

Established

Firm type

Fiscal year end

# of Employees

117

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXENCIAL WEALTH ADVISOR ADV 2A 3-25-2025 (3/25/2025)

2024 AUDITED BALANCE SHEET (3/25/2025)

Regulatory assets under management

Total Number of Accounts	9,357
AUM (Assets Under Management)	$ 5,301,377,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report
08/27/2024	Cover Page	Report
11/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Patrick M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Mcleod Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXENCIAL WEALTH ADVISORS

SHORELINE FINANCIAL ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

EXENCIAL WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2001

Series 7

Date: 3/1/2001

Current Firm

EXENCIAL WEALTH ADVISORS

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EXENCIAL WEALTH ADVISORS

TRUST BUT VERIFY

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