AS
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
3845 advisors
Number of Clients
323,031 clients
Average Client Portfolio
$317K average
Assets Under Management
$102.4B
Fee Structure
This firm offers financial planning, financial wellness, and investment management services. Fees vary depending on the service and platform used. Contact the firm for specific fee information, as fees can vary based on the Financial Professional and client location. The firm does not specify AUM fee tiers in this brochure.
Areas of Practice
Financial Planning & CoachingRetirement PlanningEstate PlanningEducation PlanningDivorce PlanningSpecial Needs PlanningInvestment Management
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Advisor Information
Office location
901 N Broad Street, Suite 400, Rome, GA, 30161
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2025 - Present · 2 mos
Cambridge Investment Research, INC.
November 2025 - Present · 2 mos
Cambridge Investment Research, INC.Broker
November 2025 - Present · 2 mos
Dempsey Lord Smith, LLC
May 2021 - Present · 4 yrs 8 mos
Previous Registrations
Dempsey Lord Smith, LLC Broker
December 2020 - November 2025 · 4 yrs 11 mos
State Registrations3 states
ALGATN
AdvisorBrokerBoth
Exams
No exam information available for this advisor.