Duvan Brock is a CFP, ChFC-designated registered investment advisor at Dempsey Lord Smith, LLC, based in Calhoun, GA, with 36 years of industry experience. Duvan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 2,731 clients with $580M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Dempsey Lord Smith offers several ways to manage your investments:
- Portfolio Management: DLS manages your investments directly, buying and selling securities as they see fit.
- Model Portfolio Management: DLS uses pre-built investment models (Growth & Income, Income, ETF/Mutual Fund) to manage your portfolio.
- Wealth Management Platform: DLS uses third-party asset managers through the Fidelity Managed Account Solutions Program or DLS's own wrap fee program.
- Advisor Referral Program: DLS refers you to a third-party asset manager.
The maximum annual fee for portfolio management is 2.50% (2.00% in Alabama). The specific fee is negotiable. DLS receives a portion of the fee collected by third-party asset managers.
Location
276 Curtis Pkwy. NE, Calhoun, GA, 30701
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2024Customer Dispute
July 2016Other Business Activities
Duvan is involved in several business activities, including real estate holding companies, church and scouting organizations, and financial services through Duvan Brock Financial Services, LLC and DB Investment Services, LLC. He dedicates nearly full-time hours to Duvan Brock Financial Services, LLC during trading hours.
Employment History
Current Registrations
Dempsey Lord Smith, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
Mariner Financial Services, INC.Broker
Edward D. Jones & CO., L.P.Broker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.