Dillon Brock is a registered investment advisor at Dempsey Lord Smith, LLC, based in Calhoun, GA, with 7 years of industry experience. Dillon 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
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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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Dillon is involved with Brock and Fischer, LLC, a private family holding company for investments, dedicating a few hours per week. He also works full-time as a financial advisor at Duvan Brock Financial Services, LLC.
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
State Registrations4 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.