Jonathan A. Smith

BALANCED ROCK INVESTMENT ADVISORS

ROSLINDALE, MA 02131

Some features on this profile are disabled

CRD#: 6899913

Professional summary

Jonathan A Smith is a registered financial advisor currently at BALANCED ROCK INVESTMENT ADVISORS located in Roslindale, Massachusetts.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Jonathan has worked at 3 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan A 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

August 12, 2026 - Present

BALANCED ROCK INVESTMENT ADVISORS

Office #1: 4238 Washington Street Suite 311, Roslindale, MA 02131

RIA

CRD#: 157424

ROSLINDALE, MA

Past

July 28, 2025 - August 17, 2026

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Waltham, MA

Past

August 5, 2020 - March 31, 2026

O'BRIEN WEALTH PARTNERS LLC

RIA

CRD#: 105336

WALTHAM, MA

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".

BALANCED ROCK INVESTMENT ADVISORS

BALANCED ROCK INVESTMENT ADVISORS | BALANCED ROCK INVESTMENTS | BALANCED ROCK INVESTMENT ADVISORS LLC

CRD#: 157424 / SEC#: 801-128479

RIA

Registered Investment Advisory firm - (7/31/2023 Approved)

California

Registered Investment Advisory firm - (9/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (8/22/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/18/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/18/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(8/12/2026)

IAR

Texas
(8/12/2026)

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 65

Date: 8/5/2020

Uniform Investment Adviser Law Examination

Current Firm

BALANCED ROCK INVESTMENT ADVISORS

BALANCED ROCK INVESTMENT ADVISORS | BALANCED ROCK INVESTMENTS | BALANCED ROCK INVESTMENT ADVISORS LLC

CRD#: 157424 / SEC#: 801-128479

RIA

Registered Investment Advisory firm - (7/31/2023 Approved)

California

Registered Investment Advisory firm - (9/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (8/22/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/18/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/18/2023 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4238 Washington Street Suite 311, Roslindale, MA 02131

Mailing Address

Phone number

(617) 971-8323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - BALANCED ROCK (3/28/2025)

Regulatory assets under management

Total Number of Accounts	714
AUM (Assets Under Management)	$ 156,138,283

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Heather Scearce

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

BURLINGTON, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan A. Smith

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan A Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANCED ROCK INVESTMENT ADVISORS

MERCER GLOBAL ADVISORS INC.

O'BRIEN WEALTH PARTNERS LLC

Primary Firm SEC Registration

BALANCED ROCK INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/2020

Current Firm

BALANCED ROCK INVESTMENT ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALANCED ROCK INVESTMENT ADVISORS

TRUST BUT VERIFY

Similar Advisors