Louis Gary
Louis Gary is a registered investment advisor at Dempsey Lord Smith, LLC, based in Rome, GA, with 22 years of industry experience. Louis 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
901 N Broad Street, Suite 400, Rome, GA, 30161
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
August 2016Other Business ActivitiesSells Insurance
Louis is a life and disability insurance agent and a member of the board of directors for Point Foundation, a national non-profit scholarship fund. He dedicates minimal time to the non-profit.
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
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations3 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.