Dempsey Lord Smith, LLC is a large advisory firm based in Rome. It manages $169.81 million of regulatory assets for 899 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Alabama, Arizona, California, and 17 other states.
Dempsey Lord Smith provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Dempsey Lord Smith, LLC is $169.81 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 188% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Dempsey Lord Smith, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The only and largest group of clients of Dempsey Lord Smith is individuals with 899 clients and $169.81 million of assets under management. Among the 12 most similar advisory firms, Dempsey Lord Smith has the highest percentage of individuals out of all clients.
The amount of regulatory assets under management is $169.81 million for 899 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Dempsey Lord Smith doesn't advise any private funds.
The company employs 86 people that are either part- or full-time employees. 55 percent of the employees work as investment advisers or researchers. 47 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where Dempsey Lord Smith, LLC performs its advisory services is located at 901 N Broad Street, Rome, GA 30161, which is also the mailing address of the firm. An additional office of the firm is in Calhoun, GA. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 706.238.9575 or by fax 706.238.9578. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at crescentwealthadvisors.com.