Investment adviser · CRD 141238
DEMPSEY LORD SMITH, LLC
Investment adviser filing (IA)
ROME, GA, United States · Form ADV filed Jan 5, 2026
- Regulatory AUM
- $580M Form ADV · Item 5.F
- Client accounts
- 2,444 Accounts, not individual clients
- Employees
- 92 Reported in this filing
- Advisory professionals
- 78 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Individuals | 2,416 | $580,450,609 | 100.0% |
| High-net-worth individuals | 306 | Not reported | Not reported |
| Retirement plans | 9 | Not reported | Not reported |
Filing source
Form ADV 2037291 · Jan 5, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Jan 5, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Pension consulting · Selection of other advisers
Compensation
Percentage of assets · Hourly · Fixed
Principal office
901 N BROAD STREET, SUITE 400ROME, GA, 30161, United States
CRD 141238
Filing source
Form ADV 2037291 · Jan 5, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.