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DEMPSEY LORD SMITH, LLC

ROME, GA · CRD 141238 · IAPD ↗ · wealthretirementsolutions.net · 706.238.9575

$580.5MRegulatory AUM
78Advisory reps
92Employees
1655Clients
26-50Planning clients
0Private funds
15States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
May 2026 — DEMPSEY LORD SMITH, LLC (ROME, GA) left the SEC roster (was $580.5M RAUM, 78 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
53
February 2026 — DEMPSEY LORD SMITH, LLC notice-filed in AL, AR, CA, FL, GA, MD, MS, NC, NV, OH, SC, TN, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.