# DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC of ROME, GA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 141238
- Type: SEC-registered investment adviser
- SEC file number: 801-108087
- Location: 901 N BROAD STREET, SUITE 400, ROME, GA, 30161
- Phone: 706.238.9575
- Latest filing: 2026-01-05
- Regulatory AUM: $580.5M
- Discretionary AUM: $580.5M
- Clients: 92
- Accounts: 2,444

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pensions, Charities

## Officers, owners & control persons (9)

| Name | Role | Location |
| --- | --- | --- |
| Jerry Eskel Jr Dempsey | CHIEF EXECUTIVE OFFICER | — |
| John Hayward Lord | CHIEF COMPLIANCE OFFICER | — |
| Ernest Liddell Smith | VICE PRESIDENT SALES AND MARKETING | — |
| Duvan Ledbetter Brock | VICE PRESIDENT RECRUITING AND DUE DILIGENCE | — |
| MANSFIELD KATHI RENEE | CHIEF COMPLIANCE OFFICER | — |
| DEMPSEY JERRY ESKEL JR | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER/CEO/CROP/SROP/CFO/FINOP | — |
| LORD JOHN HAYWARD | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT OF COMPLIANCE | — |
| SMITH ERNEST LIDDELL | MANAGING MEMBER; VICE PRESIDENT SALES AND MARKETING | — |
| BROCK DUVAN LEDBETTER | VICE PRESIDENT RECRUITING AND DUE DILIGENCE; V.P. SALES & RECRUITING | — |


## Disclosures (21)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-06-06 | regulatory | ON JANUARY 12, 2022 AND JANUARY 19, 2022 THE LICENSEE OF THE FIRM (JOHN LORD) AND THE BUSINESS ENTITY (DEMPSEY LORD SMITH, LLC) RESPECTIVELY SUBMITTED AN APPLICATION FOR A NON-RESIDENT INSURANCE LICENSE FOR THE STATE OF ILLINOIS. THE APPLICATION ASKED THE QUESTION REGARDING PRIOR REGULATORY DISCLOSU… | Final | $1K |
| 2022-03-21 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT SOLD FOUR LIMITED PARTNERSHIP INTERESTS IN A COMPANY WITHOUT INFORMING THE CUSTOMERS THAT THE ISSUER HAD NOT TIMELY FILED ITS AUDITED FINANCIAL STATEMENTS WITH THE SECURITIES AND EXCHA… | Final | $70K |
| 2017-05-29 | regulatory | ALLEDGED VIOLATION OF GEORGIA LAW O.C.G.A. 33-23-21(2) AND 33-2-24(G) FOR FAILING TO TIMELY DISCLOSE TWO REGULATORY ACTIONS. THE MATTER WAS RESOLVED BY PAYING A CIVIL PENALTY OF $300.00 | Final | $300 |
| 2016-04-07 | regulatory | ALLEGED VIOLATION OF NORTH CAROLINA GENERAL STATUTE 58-33-329(K) FOR FAILING TO DISCLOSE TIMELY TWO REGULATORY ACTIONS TO THE NORTH CAROLINA DEPARTMENT OF INSURANCE. THE MATTER WAS RESOLVED BY THE FIRM PAYING A CIVIL PENALTY OF $500.00. | Final | $500 |
| 2015-06-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM, ACTING A PRINCIPAL, ITS CEO AND FINOP, FAILED TO SET UP ESCROW ACCOUNTS, PURSUANT TO THE REQUIREMENTS OF SECURITIES EXCHANGE ACT OF 1934 RULE 15C2-4, IN CONNECTION WITH THREE PRI… | Final | $10K |
| 2015-01-20 | regulatory | BD AND ITS AGENT SOLD SECURITIES WHILE BEING UNREGISTERED WITHIN THE STATE. | Final | $500 |
| — | regulatory | — | — | — |


## Branch offices (64)

_Showing 15 of 64 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| CINCINNATI | OH | 5 | 513-533-0228 |
| — | — | 2 | 770.928.2345 |
| DALTON | GA | 2 | 706-529-8806 |
| CALHOUN | GA | 2 | 706-409-4000 |
| DALTON | GA | 2 | 706-529-8806 |
| IRVINE | CA | 2 | 310-921-8052 |
| — | — | 2 | 706-298-2456 |
| IRVINE | CA | 2 | 310-921-8052 |
| SARASOTA | FL | 1 | 941-923-2537 |
| KINGS MOUNTAIN | NC | 1 | 704-739-4997 |
| LAKE MARY | FL | 1 | 407-712-6780 |
| PORT CHARLOTTE | FL | 1 | 941-979-8133 |
| GREENVILLE | SC | 1 | 864-458-8157 |
| UNION POINT | GA | 1 | 706-473-5212 |
| CUMMING | GA | 1 | 770-205-7405 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/141238/brochure
- Similar advisers: https://search.stillhousedata.com/firm/141238/similar
- Related entities: https://search.stillhousedata.com/firm/141238/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/141238

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.