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.
Teams that joined Dempsey Lord Smith, LLC
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Irvine, Ca | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 |
| 2 | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Mt Pleasant, Sc | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2026 |
| 4 | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Rome, Ga +2 | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2026 over 14 d |
| 2 | Cambridge Investment Research Advisors, Inc. BD affiliated | Dempsey Lord Smith, LLC independent RIA | Dawsonville, Ga | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2026 |
| 2 | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | Cincinnati, Oh | RIA to RIA | Dec 9, 2022 |
| 2 | Premium 72 Capital independent RIA | Dempsey Lord Smith, LLC independent RIA | Houston, Tx | RIA to RIA | Dec 9, 2022 |
| 4 | Kalos Management BD affiliated | Dempsey Lord Smith, LLC independent RIA | Ponte Vedra Beach, Fl | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2019 |