DEMPSEY INVESTMENT MANAGEMENT, LLC

Advisory Business

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

Employees

Total Number of Employees	1
Investment Advisory/Research	1
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	1
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	441	$126.5M
Non-Discretionary	0	$0
Total	441	$126.5M

Clients

Type	Number	RAUM
Individuals	99	$47.6M
HNW Individuals	40	$78.9M
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	0	$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	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number	801-127621
SEC ERA File Number	801-127621
SEC CIK Numbers	None
SEC CRD Numbers	134667
Legal Entity Identifier	None

Principal Office

1233 SHELBURNE ROAD
SUITE 410
SOUTH BURLINGTON
VT
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic