DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Dempsey Lord Smith, LLC

Former SEC-registered adviserRome, GeorgiaCRD 141238SEC 801-108087websiteIAPD
Latest filing Jan 5, 2026
First filing on the tape Jun 30, 2016 · 38 filings
SEC status approved since Jul 25, 2016
RAUM
$580M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$580M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
92
78 advisory (5.B.1)
Offices
60
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$580M as of Jan 5, 2026
Mar 30, 2017$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)78 as of Jan 5, 2026
Mar 30, 201739 then
Employees (5.A)92 as of Jan 5, 2026
Mar 30, 201772 then
Private funds: no history
RAUM +0.0% over the last fiscal year+5.0% a year over threeIARs 78 to 78
Practice profile
derived from the filing of Jan 5, 2026; every figure names its basis
RAUM per advisor
$7.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$237,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.3derived61 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$580M100%
Individual clients
2,416reported
HNW clients
306reported
Pension plan clients
9reported
Charitable clients
0reported
Accounts
2,444reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
32 left, 13 joined in 12 months
net -19 in 12 months0 left in 90 days0 joined in 90 days42 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Duvan Ledbetter Brock · Vice President Recruiting And Due Diligencecontrol
    since 12/2010 · owns 10% to 25%
  • Jerry Eskel Jr Dempsey · Chief Executive Officercontrol
    since 04/2006 · owns 25% to 50%
  • John Hayward Lord · Chief Compliance Officercontrol
    since 08/2016 · owns 10% to 25%
  • Ernest Liddell Smith · Vice President Sales And Marketingcontrol
    since 04/2006 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Alphretta, Ga001
Atlanta, Ga001
Cramerton, Nc000
Gastonia, Nc000
Greensboro, Nc001
Huntersville, Nc000
Palm Coast, Fl000
St Petersburg, Fl001
Calhoun, Ga0041
Rome, Ga · principal00516
Snellville, Ga000
San Diego, Ca001
Cincinnati, Oh000
Offices
Schedule D 1.F, the 25 largest
  • Calhoun, GA5 employees
  • Cincinnati, OH5 employees
  • Cramerton, NC4 employees
  • Dalton, GA2 employees
  • , 2 employees
  • Calhoun, GA2 employees
  • , 2 employees
  • Irvine, CA2 employees
  • Sarasota, FL1 employees
  • Kings Mountain, NC1 employees
  • Lake Mary, FL1 employees
  • Port Charlotte, FL1 employees
  • Greenville, SC1 employees
  • Union Point, GA1 employees
  • Dawsonville, GA1 employees
  • Decatur, GA1 employees
  • Elgin, SC1 employees
  • Hendersonville, TN1 employees
  • Mt. Pleasant, SC1 employees
  • Norcross, GA1 employees
  • Palm Coast, FL1 employees
  • Atlanta, GA1 employees
  • , 1 employees
  • Ringgold, GA1 employees
  • Carrollton, GA1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,106 to 2,444
    Apr 21, 2024 to Mar 31, 2025
  • Advisory employees · 80 to 78
    Apr 21, 2024 to Mar 31, 2025
  • BD registered reps · 104 to 90
    Apr 21, 2024 to Mar 31, 2025
  • HNW clients · 305 to 306
    Apr 21, 2024 to Mar 31, 2025
  • Individual clients · 2,790 to 2,416
    Apr 21, 2024 to Mar 31, 2025
  • Pension plan clients · 11 to 9
    Apr 21, 2024 to Mar 31, 2025
  • Employees · 106 to 92
    Apr 21, 2024 to Mar 31, 2025
  • Insurance-licensed employees · 4 to 6
    Apr 21, 2024 to Mar 31, 2025
  • Financial planning clients · 26-50 to 26-50
    Apr 21, 2024 to Mar 31, 2025
  • State-registered IARs · 80 to 78
    Apr 21, 2024 to Mar 31, 2025
  • Discretionary RAUM · $586M to $580M
    Apr 21, 2024 to Mar 31, 2025
  • Individual RAUM · $586M to $580M
    Apr 21, 2024 to Mar 31, 2025
  • RAUM · $586M to $580M
    Apr 21, 2024 to Mar 31, 2025
  • Accounts · 2,945 to 3,106
    Dec 15, 2023 to Apr 1, 2024
  • Advisory employees · 77 to 80
    Dec 15, 2023 to Apr 1, 2024
  • BD registered reps · 99 to 104
    Dec 15, 2023 to Apr 1, 2024
  • HNW clients · 300 to 305
    Dec 15, 2023 to Apr 1, 2024
  • Individual clients · 2,645 to 2,790
    Dec 15, 2023 to Apr 1, 2024
  • Pension plan clients · 10 to 11
    Dec 15, 2023 to Apr 1, 2024
  • Employees · 101 to 106
    Dec 15, 2023 to Apr 1, 2024
  • State-registered IARs · 77 to 80
    Dec 15, 2023 to Apr 1, 2024
  • Discretionary RAUM · $502M to $586M
    Dec 15, 2023 to Apr 1, 2024
  • Individual RAUM · $502M to $586M
    Dec 15, 2023 to Apr 1, 2024
  • RAUM · $502M to $586M
    Dec 15, 2023 to Apr 1, 2024
  • Accounts · 1,673 to 2,945
    Nov 11, 2022 to Mar 31, 2023
  • BD registered reps · 101 to 99
    Nov 11, 2022 to Mar 31, 2023
  • Charity clients · unset to 0.0
    Nov 11, 2022 to Mar 31, 2023
  • Corporate clients · unset to 0.0
    Nov 11, 2022 to Mar 31, 2023
  • HNW clients · 136 to 300
    Nov 11, 2022 to Mar 31, 2023
  • Individual clients · 1,537 to 2,645
    Nov 11, 2022 to Mar 31, 2023
  • Pension plan clients · unset to 10.0
    Nov 11, 2022 to Mar 31, 2023
  • Pooled vehicle clients · unset to 0.0
    Nov 11, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 8 to 4
    Nov 11, 2022 to Mar 31, 2023
  • Financial planning clients · 11-25 to 26-50
    Nov 11, 2022 to Mar 31, 2023
  • Other offices · 47 to 60
    Nov 11, 2022 to Mar 31, 2023
  • Discretionary RAUM · $315M to $502M
    Nov 11, 2022 to Mar 31, 2023
  • Individual RAUM · $315M to $502M
    Nov 11, 2022 to Mar 31, 2023
  • RAUM · $315M to $502M
    Nov 11, 2022 to Mar 31, 2023
  • Accounts · 1,179 to 1,673
    Apr 19, 2022 to Apr 20, 2022
  • HNW clients · 117 to 136
    Apr 19, 2022 to Apr 20, 2022
Signals
60 dated events
  • Dempsey Lord Smith, Llc no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $580.5M)
    May 1, 2026 · Left the SEC roster · derived
  • Coleman Barry Goldsmith no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 30, 2026 · Advisor departure · fact
  • Todd Ille no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 30, 2026 · Advisor departure · fact
  • Jerry Eskel Dempsey left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-11-23)
    Apr 30, 2026 · Advisor changed firm · fact
  • Brian Tallman Parker no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 30, 2026 · Advisor departure · fact
  • Drew Alexander Dempsey no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 6, 2026 · Advisor departure · fact
  • Michael Keith Williams no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 6, 2026 · Advisor departure · fact
  • John Hayward Lord no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 6, 2026 · Advisor departure · fact
  • Duvan Ledbetter Brock no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 6, 2026 · Advisor departure · fact
  • Ernest Liddell Smith no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 6, 2026 · Advisor departure · fact
  • Daniel H Motyl left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-12-03)
    Apr 3, 2026 · Advisor changed firm · fact
  • Adam Scott Weiner left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-12-01)
    Apr 3, 2026 · Advisor changed firm · fact
  • Jeffrey David Rickett no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Claire Elizabeth Jarrett no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Michael Sean Primo left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-11-25)
    Apr 3, 2026 · Advisor changed firm · fact
  • Jesse Julian Griffin left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-11-26)
    Apr 3, 2026 · Advisor changed firm · fact
  • William Stuart Finnie left Dempsey Lord Smith, Llc for Kingswood Wealth Advisors, Llc (registered 2026-05-06)
    Apr 3, 2026 · Advisor changed firm · fact
  • Luis Ricardo Pizano no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Aaron Shepard no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Gregory Gaston Gibson left Dempsey Lord Smith, Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-03-05)
    Apr 3, 2026 · Advisor changed firm · fact
  • Patrick Grant no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Michael K Argo left Dempsey Lord Smith, Llc for Ameriprise Financial Services, Llc (registered 2026-07-07)
    Apr 3, 2026 · Advisor changed firm · fact
  • James Mark Maddox no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • William Henry Morgan no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Dillon Thomas Ledbetter Brock no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Madeline H Smith no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Douglas William Gow no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Mark Morelle Headrick no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Sharon Leigh Burchett no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
  • Cathy Hall Couch no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
    Apr 3, 2026 · Advisor departure · fact
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026