Back to top

Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

There is no ETF holding data from this firm to display at this time.

Assets

Assets

Last updated on Jan. 7, 2016
    • $58.9M
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 444
      Accounts
    • $132.7K
      Estimated Average Account Balance

Services

Firm Services

  • Financial Planning

  • Pension Consulting

  • Other
    • -Selection of Other Advisors

Firm Client types

Advisors

Current Advisors

# of advisors

67

name start date
Michelle Marie Martin-Yoder
March 2012
Donald Michael Dusick
November 2010
Claire Elizabeth Jarrett
July 2015
Robert James Maranghi
February 2015
John Archie Bowling
October 2015

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Brock Financial Services, Inc. -- --
    Dempsey Lord Smith, LLC Dual Registrant $58,935,459

      Leadership

      Ownership

      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Jerry Eskel Jr Dempsey Managing Member/Ceo/Crop/Srop/Cfo/Finop April, 2006 25% to 50%
      John Hayward Lord Chief Compliance Officer April, 2006 25% to 50%
      Ernest Liddell Smith Managing Member April, 2006 25% to 50%
      Duvan Ledbetter Brock V.P. Sales & Recruiting December, 2010 10% to 25%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees