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.
Advisor moves
Arrivals at Dempsey Lord Smith, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Michael K Argo | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2026 | Jan 6, 2026 |
| William Stuart Finnie | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2026 | Jan 6, 2026 |
| Robert Anthony Nevarez | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 | Jan 5, 2026 |
| Gal Gali Horev | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 | Jan 5, 2026 |
| Clarence Edmund Blanton | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2026 | Jan 13, 2026 |
| Clarence Edmund Blanton | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2026 | Jan 5, 2026 |
| Charles Albert Strickland | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2026 | Jan 8, 2026 |
| Cary Lynn Hise | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2026 | Jan 7, 2026 |
| Barry Park Dow | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2026 | Jan 7, 2026 |
| Daniel Benjamin Kistler | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2026 | Jan 13, 2026 |
| Andrew Stephen Rodgers | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2026 | Jan 6, 2026 |
| Zachary Chapman Gerrells | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2026 | Jan 6, 2026 |
| Scott Manning Porter | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2026 | Jan 5, 2026 |
| Cary Lynn Hise | Asset Allocation Strategies, LLC independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | May 14, 2025 | May 14, 2025 |
| Michael Sean Primo | Blackridge Asset Management, LLC BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2024 | Aug 26, 2024 |
| Steven Michael Goodman | Alphastar Capital Management independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Feb 19, 2024 | Feb 12, 2024 |
| Timothy Michael Eckel | Arete Wealth Advisors, LLC BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2024 | Feb 7, 2024 |
| Sejal Patel | Pruco Securities, LLC BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2023 | Jan 12, 2024 (64 d) |
| Adam Scott Weiner | Arkadios Wealth Advisors BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2023 | Sep 5, 2023 |
| Coleman Barry Goldsmith | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Dec 9, 2022 | Apr 11, 2022 |
| Brian Tallman Parker | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Dec 9, 2022 | Apr 11, 2022 |
| Victoria Claire Sullivan | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Dec 9, 2022 | Apr 11, 2022 |
| Todd Ille | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Dec 9, 2022 | Apr 11, 2022 |
| Brian Joseph Haney | Realta Investment Advisors, Inc BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2022 | Nov 11, 2022 |
| Marvin Gene Strozier | State Farm Investment Management Corp. asset manager | Dempsey Lord Smith, LLC independent RIA | Other | Oct 21, 2022 | Dec 2, 2022 (42 d) |
| Richard James Gow | Claraphi Advisory Network, LLC independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Sep 30, 2022 | Mar 1, 2021 |
| Matthew Land | Fsc Securities Corporation BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 18, 2022 | Aug 19, 2022 |
| John Alan Cory | Asset Accumulation,Protection,Preservation And Transfer, LLC state registered | Dempsey Lord Smith, LLC other | Other | Dec 31, 2021 | Jan 7, 2015 |
| Assen Alexandrov Kuklin | Arkadios Wealth Advisors BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2021 | Aug 4, 2021 |
| Brittney Michelle Miller | RBC Capital Markets, LLC national BD | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2021 | Apr 16, 2021 |
| John Robert Dixon | Cosey Financial Services, Inc. independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Mar 2, 2021 | Jul 28, 2022 (513 d) |
| Jesse Julian Griffin | Fiscal Wisdom Wealth Management LLC independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Jan 27, 2021 | Jan 6, 2021 |
| Flint T Schuller | Advice And Planning Services BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 30, 2021 (229 d) |
| Karen Meyer Holland | Cape Investment Advisory, Inc. independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Oct 26, 2020 | Oct 22, 2020 |
| Roderick Otis Green | LPL Financial LLC BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 10, 2020 | Aug 24, 2020 |
| Michael David Dose | Center Street Advisors, Inc. independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Oct 11, 2019 | Oct 15, 2019 |
| Steven Kirk Denton | Vanguard Advisers, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2019 | Nov 14, 2019 (48 d) |
| Robert George Langhorst | Claraphi Advisory Network, LLC independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Aug 6, 2019 | Aug 8, 2019 |
| Joseph Patrick Roop | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 | Oct 18, 2019 (88 d) |
| Stephen Douglas Norton | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 | Jul 22, 2019 |
| Shaun Francis Moynihan | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 | Jul 22, 2019 |
| Cory Adam Shuford | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 | Jul 22, 2019 |
| Kyle David Sikes | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 | Jul 22, 2019 |
| Charles Albert Strickland | Osaic Fa, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2019 | Jan 29, 2019 |
| Daniel H Motyl | Avantax Advisory Services BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2019 | Jan 3, 2019 |
| Daniel Benjamin Kistler | Retirement Cash Flow Group, LLC unclassified | Dempsey Lord Smith, LLC other | Other | Dec 31, 2018 | Sep 18, 2017 |
| Douglas Carroll Shows | Concourse Financial Group Advisors BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 17, 2018 | Sep 18, 2018 |
| Robert Clark Armstrong | Advisory Services Network independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Jun 25, 2018 | Sep 30, 2020 (828 d) |
| Clarence Edmund Blanton | Invest Financial Corporation other | Dempsey Lord Smith, LLC other | Other | Dec 12, 2017 | Dec 11, 2017 |
| Cathy Hall Couch | Wfg Advisors, LP other | Dempsey Lord Smith, LLC other | Other | Aug 25, 2017 | Aug 30, 2017 |
| Donald Westlin Gifford | Ameriprise Financial Services, LLC national BD | Dempsey Lord Smith, LLC other | Other | May 31, 2017 | Jun 8, 2017 |
| Gal Gali Horev | B. Riley Wealth Advisors, Inc. other | Dempsey Lord Smith, LLC other | Other | Feb 24, 2017 | Nov 1, 2017 (250 d) |
| Robert Anthony Nevarez | B. Riley Wealth Advisors, Inc. other | Dempsey Lord Smith, LLC other | Other | Feb 7, 2017 | Nov 1, 2017 (267 d) |
| Douglas William Gow | Capital Investment Advisory Services, LLC other | Dempsey Lord Smith, LLC other | Other | Feb 6, 2017 | Mar 24, 2017 (46 d) |
| Louis Alan Gary | Ameriprise Financial Services, LLC national BD | Dempsey Lord Smith, LLC other | Other | Sep 30, 2016 | Dec 14, 2016 (75 d) |
| Scott Manning Porter | Global Financial Private Capital, Inc. other | Dempsey Lord Smith, LLC other | Other | Jun 8, 2016 | Nov 29, 2016 (174 d) |
| Patrick Grant | Kovack Advisors, Inc. other | Dempsey Lord Smith, LLC other | Other | Dec 31, 2015 | Apr 26, 2016 (117 d) |
| Andrew Stephen Rodgers | Sb Advisory, LLC other | Dempsey Lord Smith, LLC other | Other | Dec 31, 2015 | Aug 26, 2016 (239 d) |
| Megan Leigh Brown | Mccormack Financial Planning Inc. other | Dempsey Lord Smith, LLC other | Other | Dec 31, 2015 | Jan 14, 2016 |
| Gary Wayne Copeland | Kovack Advisors, Inc. other | Dempsey Lord Smith, LLC other | Other | Sep 15, 2015 | Sep 25, 2015 |
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86 moves match.