Douglas Gow is a ChFC-designated registered investment advisor at Dempsey Lord Smith, LLC, based in Rome, GA, with 43 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
901 N Broad Street, Suite 400, Rome, GA, 30161
Get directionsHistory
Regulatory History (1)
Customer Dispute
September 2022Other Business Activities
Douglas is the managing director of Independent Retirement Specialists, LLC, established in 2012, dedicating nearly full-time hours to this investment-related activity. He also spends minimal time consulting for Deans Consulting, LLC.
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
Capital Investment Advisory Services, LLC
Capital Investment Group, INC.Broker
Equity Services, INC.Broker
Esi Financial Advisors
1717 Capital Management Company
1717 Capital Management CompanyBroker
Equity Services, INC.Broker
Securities America, INC.Broker
Jefferson-Pilot Investor Services, INC.Broker
Forth Financial Securities, CorporationBroker
W. S. Griffith & CO., INC.Broker
Phoenix Equity Planning CorporationBroker
Ogilvie & Taylor Securities CorporationBroker
Guardian Investor Services CorporationBroker
Phoenix Equity Planning CorporationBroker
State Registrations6 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.