Douglas Shows is a registered investment advisor at Dempsey Lord Smith, LLC, based in Rome, GA, with 24 years of industry experience. Douglas 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
Rome, GA
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Regulatory History
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.
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Douglas is a college basketball official, refereeing games and instructing at camps, dedicating about a quarter of his time. He also participates in church finances, real estate investment, Advantage Business Brokers, Second Avenue Group, and Hydrate IV Infusion, spending minimal time on each.
Employment History
Current Registrations
Dempsey Lord Smith, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLCBroker
Investment Advisors
Proequities, INC.Broker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Park Avenue Securities LLC
Peachtree Planning Advisors, INC.
Park Avenue Securities LLCBroker
State Registrations1 state
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.