Rome, GA N Broad St. Office

Team
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Cambridge Investment Research Advisors

Institution

Firm-wide stats for Cambridge Investment Research Advisors

Total advisors

3,909

Across 2,197 offices

Clients per advisor

91 Typical

Avg AUM per client

$378,281 Low

HNW client ratio

13% Typical

About

Cambridge Investment Research Advisors is a large SEC-registered adviser that serves a broad mix of clients—individuals (including both non-HNW and high-net-worth clients), pension and profit‑sharing plans, charitable organizations, trusts and estates, and other retirement-plan sponsors—by offering financial planning, investment management, retirement plan advisory, and financial-wellness services. Services are delivered through a network of independent Financial Professionals and include direct portfolio management, wrap-fee programs (WealthPort), model-based solutions, and referrals to approved third‑party managers.

Investment implementation is offered across multiple custody and platform arrangements (CMAP, FlexMAP, WealthPort, UMA/CAAP) and can be either discretionary or non‑discretionary, with Financial Professionals tailoring strategies to client objectives. The firm maintains both proprietary model strategies under the Founders Gate Capital brand and access to unaffiliated strategists, and the brochure notes that some advisers use tactical approaches and, in a minority of cases, market‑timing services rather than only buy‑and‑hold allocations.

Noteworthy, and less common among peer institutions, is Cambridge’s explicit disclosure of affiliated‑strategy economics and related conflict‑of‑interest controls for Founders Gate Capital, along with documented advisor business relationships that include Financial Professionals who are attorneys or CPAs and may provide or refer legal and accounting services. The brochure also details institutional features tied to the firm’s scale—advisor transition loans/grants and equity participation arrangements, FDIC sweep options, and formal compliance and supervisory processes—which can materially shape how recommendations are selected and implemented.

Based on Cambridge Investment Research Advisors

Expertise

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities

Based on Cambridge Investment Research Advisors

Occupation focus

Self-Employed

Based on Cambridge Investment Research Advisors

Location

901 N Broad St., Ste. 400

Rome GA 30161

Advisors at this office

9

Advisors at this office

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Jerry D

Series 63, Series 65

Rome, GA

Cambridge Investment Research Advisors

Jerry Dempsey Jr. is a financial advisor at Cambridge Investment Research Advisors with Series 63 and Series 65 credentials and 30 years of industry experience. He has held leadership roles at Dempsey Financial Services, Inc. and DLS Financial, LLC, and is vice president of Rome Truck Parts & Repair, Inc. He also serves as president of AdvisorLynx, LLC, a technology services firm. Cambridge Investment Research Advisors serves a diverse client base with financial planning, investment management, retirement plan advisory, and financial wellness services delivered through a large network of independent professionals. The firm offers a range of investment solutions, including proprietary models and access to third-party strategists, with both discretionary and non-discretionary management tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Michael W

Series 66

Rome, GA

Cambridge Investment Research Advisors

Michael Williams is a Series 66-licensed financial advisor with eight years of industry experience, currently practicing at Cambridge Investment Research Advisors. He previously worked for Dempsey Lord Smith, LLC for seven years. Outside of his advisory role, he is also involved as an agent in insurance, benefits, and human resources. Cambridge Investment Research Advisors serves a wide range of clients—including individuals, pension plans, charitable organizations, and retirement-plan sponsors—offering financial planning, investment management, and retirement advisory services through a network of independent financial professionals. The firm provides various portfolio management options, including proprietary models and access to external strategists, with investment strategies tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Jessica H

Series 66

Rome, GA

Cambridge Investment Research Advisors

Jessica Holmes is a financial advisor at Cambridge Investment Research Advisors with a Series 66 designation and approximately one year of industry experience. Prior to her current role, she worked in real estate and hospitality, including positions at Floyd Realty Advisors and Guston's Bar & Grille. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base, including individuals, pension plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement-plan advisory services through a network of independent Financial Professionals using a variety of portfolio management approaches.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Douglas G

ChFC®, Series 63

Rome, GA

Cambridge Investment Research Advisors

Douglas Gow is a ChFC® designated financial advisor with 43 years of industry experience. He is currently with Cambridge Investment Research Advisors and has prior experience at Dempsey Lord Smith, LLC and Capital Investment Advisory Services, LLC. He also has a registered role as an insurance agent. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory through a network of independent professionals, utilizing proprietary models as well as third-party strategies tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Drew D

Series 66

Rome, GA

Cambridge Investment Research Advisors

Drew Dempsey is a financial advisor at Cambridge Investment Research Advisors with 11 years of industry experience. He previously worked at Dempsey Lord Smith, LLC for over a decade before joining Cambridge Investment Research Advisors. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement advisory services through a network of independent professionals, using a variety of portfolio management strategies and platform arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Douglas S

Series 63, Series 65

Rome, GA

Cambridge Investment Research Advisors

Douglas Shows is a financial advisor with Cambridge Investment Research Advisors and holds Series 63 and Series 65 licenses. He has 24 years of industry experience, including roles at Dempsey Lord Smith, LLC and ProEquities, Inc. Outside of advising, he owns a sports officiating business. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base that includes individuals, pension and profit-sharing plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory services through a network of independent professionals using both proprietary and third-party strategies across multiple platform arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Ernest S

Series 63, Series 65

Rome, GA

Cambridge Investment Research Advisors

Ernest Smith is a financial advisor at Cambridge Investment Research Advisors with 34 years of industry experience. He holds the Series 63 and Series 65 credentials and has previously worked at Dempsey Lord Smith, LLC and DLS Financial, LLC for nearly two decades. Outside of his advisory role, he is the owner of DLS Financial LLC, a separate business entity. Cambridge Investment Research Advisors serves a diverse client base, including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory services through a broad network of independent professionals, utilizing a range of portfolio management strategies and platform arrangements tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
user avatar

Luis P

Series 66

Rome, GA

Cambridge Investment Research Advisors

Luis Pizano is a financial advisor with Cambridge Investment Research Advisors holding a Series 66 designation and four years of industry experience. His prior work includes roles at Dempsey Lord Smith, LLC and involvement with Morning Glory Farms. He also acts as an agent with Rome Health Plan Advisors, engaging in insurance and benefits-related activities. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base, including individuals, retirement plans, and charitable organizations. The firm offers financial planning, investment management, and retirement advisory services through a network of independent professionals using a variety of portfolio management and model-based strategies.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
user avatar

Jeffrey R

CFP®, Series 63, Series 65

Rome, GA

Cambridge Investment Research Advisors

Jeffrey Rickett is a CFP® with over 31 years of experience in the financial industry. He is currently affiliated with Cambridge Investment Research Advisors and has previously worked for Dempsey Lord Smith, LLC. Outside of his advisory role, he owns businesses involved in insurance and financial planning services in Rome, GA. Cambridge Investment Research Advisors serves a diverse client base, including individuals, pension plans, and charitable organizations, offering financial planning, investment management, and retirement plan advisory services through a network of independent Financial Professionals. The firm provides multiple investment platforms and proprietary model strategies, incorporating both discretionary and non-discretionary management tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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