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CRD 141238
ROME, GA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BROCK, DUVAN LEDBETTER | VICE PRESIDENT RECRUITING AND DUE DILIGENCE | B | yes | 12/2010 | Jun 30, 2016 | Apr 21, 2024 |
| DEMPSEY, JERRY ESKEL JR | CHIEF EXECUTIVE OFFICER | C | yes | 04/2006 | Jun 30, 2016 | Apr 21, 2024 |
| LORD, JOHN HAYWARD | CHIEF COMPLIANCE OFFICER | B | yes | 08/2016 | Jun 30, 2016 | Apr 21, 2024 |
| SMITH, ERNEST LIDDELL | VICE PRESIDENT SALES AND MARKETING | B | yes | 04/2006 | Jun 30, 2016 | Apr 21, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Calhoun | Ga | United States | 5 | yes |
| Cincinnati | Oh | United States | 5 | yes |
| Cramerton | Nc | United States | 4 | yes |
| Irvine | CA | United States | 2 | yes |
| Calhoun | Ga | United States | 2 | yes |
| Dalton | Ga | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| Scottsdale | Az | United States | 1 | yes |
| LAKE MARY | FL | United States | 1 | yes |
| PALM COAST | FL | United States | 1 | yes |
| PORT CHARLOTTE | FL | United States | 1 | yes |
| Sarasota | FL | United States | 1 | yes |
| Alpharetta | Ga | United States | 1 | yes |
| Atlanta | Ga | United States | 1 | yes |
| Carrollton | Ga | United States | 1 | yes |
| Dawsonville | Ga | United States | 1 | yes |
| Decatur | Ga | United States | 1 | yes |
| Norcross | Ga | United States | 1 | yes |
| Ringgold | Ga | United States | 1 | yes |
| Savannah | Ga | United States | 1 | yes |
| UNION POINT | Ga | United States | 1 | yes |
| KINGS MOUNTAIN | Nc | United States | 1 | yes |
| Elgin | Sc | United States | 1 | yes |
| Greenville | Sc | United States | 1 | yes |
| Greenville | Sc | United States | 1 | yes |
| MT. PLEASANT | Sc | United States | 1 | yes |
| Hendersonville | Tn | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Jan 5, 2026 | $580M | $580M | 92 | 78 | 60 | n/a | n/a |
| 2024 | Mar 31, 2025 | $580M | $580M | 92 | 78 | 60 | n/a | n/a |
| 2023 | Apr 1, 2024 | $586M | $586M | 106 | 80 | 60 | n/a | n/a |
| 2022 | Mar 31, 2023 | $502M | $502M | 101 | 77 | 60 | n/a | n/a |
| 2021 | Feb 2, 2022 | $244M | $244M | 101 | 77 | 47 | n/a | n/a |
| 2020 | Apr 30, 2021 | $244M | $244M | 101 | 77 | 47 | n/a | n/a |
| 2019 | Apr 1, 2020 | $200M | $200M | 107 | 71 | 47 | n/a | n/a |
| 2018 | Mar 29, 2019 | $170M | $170M | 86 | 47 | 42 | n/a | n/a |
| 2017 | Mar 31, 2018 | $154M | $154M | 86 | 47 | 34 | n/a | n/a |
| 2016 | Mar 30, 2017 | $106M | $106M | 72 | 39 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 13 | 32 | -19 | n/a | 0 | 0 | 0 | 19 | 42 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $580M | $580M | 0.0% | $502M | 5.0% | 92 | 92 | 60 | 60 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 5 | Apr 3, 2026 | Mar 5, 2026 | ROME, GA | Team lift out | RIA to ibd | 13.9% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Mar 9, 2026 | Mar 10, 2026 | ROME, GA | Team lift out | RIA to ibd | 5.3% |
| LPL ENTERPRISE, LLC | 2 | Mar 3, 2026 | Mar 2, 2026 | ROME, GA | Team lift out | RIA to ibd | 5.1% |
| ARKADIOS WEALTH ADVISORS | 4 | Feb 10, 2026 | Feb 22, 2026 | ROME, GA | Team lift out | RIA to ibd | 9.3% |
| BLACKRIDGE ASSET MANAGEMENT, LLC | 2 | Jan 21, 2026 | May 26, 2026 | ROME, GA | Team lift out | RIA to ibd | 4.4% |
| RETIREMENT CASH FLOW GROUP, LLC | 2 | Dec 31, 2025 | Apr 2, 2019 | ROME, GA | Team lift out | Other | 3.6% |
| KINGSWOOD WEALTH ADVISORS, LLC | 3 | Nov 21, 2025 | Jan 29, 2026 | CALHOUN, GA | Team lift out | RIA to ibd | 4.8% |
| WEALTHPOINT ADVISORS | 3 | Sep 11, 2024 | Oct 10, 2024 | CRAMERTON, NC | Team lift out | RIA to new firm | 4.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Mar 20, 2026 | Jan 5, 2026 | IRVINE, CA | Team lift out | Ibd to RIA | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Mar 5, 2026 | Jan 13, 2026 | MT PLEASANT, SC | Team lift out | Ibd to RIA | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 4 | Feb 12, 2026 | Jan 13, 2026 | ROME, GA | Team lift out | Ibd to RIA | 0.1% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Jan 27, 2026 | Jan 6, 2026 | DAWSONVILLE, GA | Team lift out | Ibd to RIA | 0.1% |
| PREMIUM 72 CAPITAL | 2 | Dec 9, 2022 | Apr 11, 2022 | CINCINNATI, OH | Team lift out | RIA to RIA | 33.3% |
| PREMIUM 72 CAPITAL | 2 | Dec 9, 2022 | Apr 11, 2022 | HOUSTON, TX | Team lift out | RIA to RIA | 33.3% |
| KALOS MANAGEMENT | 4 | Jul 22, 2019 | Jul 22, 2019 | PONTE VEDRA BEACH, FL | Team lift out | Ibd to RIA | 5.9% |