Top financial advisors in Rome, GA
We’ve curated a list of the best financial advisors in Rome, take a look at it below.
| # | Company | Assets under management | Number of advisors | |
|---|---|---|---|---|
| 1 |
Assets under management
$502,000,000
Number of advisors
101 advisors
| $502,000,000 | 101 advisors |
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Rome, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Rome. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLC is an investment adviser firm based in Rome, Georgia, established in 2007. The firm manages $502 million in client assets as of March 31, 2023, all on a discretionary basis. They offer a Wealth Management Platform, including a wrap fee program through which clients receive portfolio management services. The minimum investment for this program is $10,000. Clients may have their assets managed by third-party asset managers or by DLS directly. DLS offers various programs, including Separately Managed Account, Multi-Manager Account, Wrap Strategists Mutual Fund & ETF Wrap Portfolio, Advisor Directed Unified Managed Account, PMC "SIGMA" and Select Mutual Fund Solution Program, and Strategic Adviser Portfolios Program, each with different minimum account sizes. Fees are negotiable but generally do not exceed 2.50% annually based on assets under management. Fees are paid quarterly in advance for third-party asset managers and monthly or quarterly for DLS-managed accounts. DLS has a Code of Ethics, and personnel are prohibited from making recommendations based on personal financial interests. The firm discloses disciplinary events and other financial industry activities, including referral fees paid to solicitors and compensation received from third-party asset managers. DLS has policies in place to address conflicts of interest and ensure compliance with regulations. Clients are provided with detailed information on investment strategies, risks, and potential conflicts of interest.
$502,000,000 under management
101 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesPension Consulting ServicesSelection Of Other Advisers
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Rome, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Rome. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
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