Hedge Fund Database

DEMPSEY LORD SMITH, LLC

Adviser information for DEMPSEY LORD SMITH, LLC last updated from Form ADV on December 15th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Georgia, United States

Employees

Total Number of Employees 101
Investment Advisory/Research 77
Registered Broker-Dealer Representatives 99
Registered State Investment Advisers 77
Licensed Agents of an Insurance Company 79
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,945 $502.0M
Non-Discretionary 0 $0
Total 2,945 $502.0M

Clients

Type Number RAUM
Individuals 2,645 $502.0M
HNW Individuals 300 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 10 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 1673
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 0
Portfolio Manager to Program Sponsor
WEALTH MANAGEMENT PLATFORM DEMPSEY LORD SMITH, LLC

Identifiers

SEC RIA File Number 801-108087
SEC ERA File Number 801-108087
SEC CIK Numbers 1380213
SEC CRD Numbers 141238
Legal Entity Identifier None

Principal Office

901 N BROAD STREET
SUITE 400
ROME
GA
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 706.238.9575, Fax: 706.238.9578

Websites

www.hydeparkwealthmanagement.com www.innovativeinvestmentmanagement.com www.jeffreydrickett.com www.scpreferred.com www.duvanbrock.com www.dempseylordsmith.com www.corecapitalllc.com www.clairelordjarrett.com www.shalinfinancial.com www.webbcreekmanagement.com www.jlpinvestmentsinc.com www.bennettandporter.com www.aegeusfinancialsolutions.com www.wrsbenefits.com www.breenfinancial.com www.danielhmotylcpa.com www.timcouchcpa.com www.hnfg1031exchangedst.com www.blantonfinancialgroup.net www.coosafinancial.com www.hydeparkadvisors.com www.thehaneycompany.com www.wealthpointadvisorsnc.com www.lifeplan2retire.com www.stern-invest.com www.sharonlburchett.com www.insurancewala.com www.natictaylor.com www.hnfinancialgroup.com

Chief Compliance Officer

JOHN LORD
CCO
901 N BROAD STREET
SUITE 400
ROME
GA
United States
Tel: 706.238.9575
Fax: 706.238.9578
(Full email address available in API data)

Regulatory Contact

JERRY E. DEMPSEY, JR.
CEO
901 N BROAD STREET
SUITE 400
ROME
GA
United States
Tel: 706.238.9575
Fax: 706.238.9578
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
DEMPSEY, JERRY ESKEL JR Individual – CHIEF EXECUTIVE OFFICER 04/2006 25-50%
LORD, JOHN HAYWARD Individual – CHIEF COMPLIANCE OFFICER 08/2016 10-25%
SMITH, ERNEST LIDDELL Individual – VICE PRESIDENT SALES AND MARKETING 04/2006 10-25%
BROCK, DUVAN LEDBETTER Individual – VICE PRESIDENT RECRUITING AND DUE DILIGENCE 12/2010 10-25%

No. Employees, Historic

200100020192020202120222023202486 on 8/6/201986 on 8/12/201986 on 8/12/201986 on 1/7/202086 on 1/22/2020107 on 4/1/2020107 on 6/29/2020107 on 7/1/2020101 on 4/30/2021101 on 11/12/2021101 on 11/17/2021101 on 12/13/2021101 on 2/2/2022101 on 4/19/2022101 on 4/20/2022101 on 4/22/2022101 on 7/6/2022101 on 8/19/2022101 on 8/23/2022101 on 11/11/2022101 on 3/31/2023101 on 4/4/2023101 on 12/15/2023

RAUM, Historic

600M300M0201920202021202220232024169812682 on 8/6/2019169812682 on 8/12/2019169812682 on 8/12/2019169812682 on 1/7/2020169812682 on 1/22/2020200000000 on 4/1/2020200000000 on 6/29/2020200000000 on 7/1/2020244097000 on 4/30/2021244097000 on 11/12/2021244097000 on 11/17/2021244097000 on 12/13/2021244097000 on 2/2/2022244097000 on 4/19/2022314984725 on 4/20/2022314984725 on 4/22/2022314984725 on 7/6/2022314984725 on 8/19/2022314984725 on 8/23/2022314984725 on 11/11/2022502000000 on 3/31/2023502000000 on 4/4/2023502000000 on 12/15/2023

No. Clients, Historic

3,0001,5000201920202021202220232024899 on 8/6/2019899 on 8/12/2019899 on 8/12/2019899 on 1/7/2020899 on 1/22/20201200 on 4/1/20201200 on 6/29/20201200 on 7/1/20201179 on 4/30/20211179 on 11/12/20211179 on 11/17/20211179 on 12/13/20211179 on 2/2/20221179 on 4/19/20221673 on 4/20/20221673 on 4/22/20221673 on 7/6/20221673 on 8/19/20221673 on 8/23/20221673 on 11/11/20222955 on 3/31/20232955 on 4/4/20232955 on 12/15/2023