DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Verity Asset Management
Legal name Verity Asset Management, Inc.
Latest filing Jun 5, 2026
First filing on the tape Nov 28, 2011 · 81 filings
SEC status approved since May 26, 2006
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$846M individuals and HNW
Advisors
53
registered through the firm on IAPD
RAUM per advisor
$21.8M
derived; firm RAUM over IAPD count
Employees
77
54 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
81 filings and snapshots on the tape
RAUM$1.2B as of Jun 5, 2026
Jan 30, 2012$297M then
HNW client RAUM$434M as of Jun 5, 2026
Mar 28, 2018$194M then
State-registered IARs (5.B.3)54 as of Jun 5, 2026
Feb 19, 201332 then
Employees (5.A)77 as of Jun 5, 2026
Feb 19, 201334 then
Private funds1 as of Mar 31, 2015
Jan 30, 20121 then
RAUM +11% over the last fiscal year+14% a year over threeIARs 57 to 54offices 11 to 10
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $21.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $151,831derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.8derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$434M38%
- Individuals$412M36%
- Other investment advisers$186M16%
- Investment companies$91.0M7.9%
- Pension and profit-sharing plans$31.4M2.7%
- Corporations and businesses$214,0350.0%
- Individual clients
- 5,602reported
- HNW clients
- 201reported
- Pension plan clients
- 17reported
- Charitable clients
- 0reported
- Accounts
- 7,603reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.24 institutional_share=0.03 related_bd=true related_bank=false bd_reps=26.0derived
Advisors registered through the firm
53 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Charles Potter | Youngstown, Oh | Jul 29, 2011 | 22 y | 1 |
| Peter Gerard Klas | Durham, Nc | Jul 29, 2011 | 26 y | 2 |
| William Russell Hopwood | Durham, Nc | Jul 29, 2011 | 26 y | 1 |
| Kurt Douglas Preble | Durham, Nc | Jul 29, 2011 | 26 y | 1 |
| Kurt Charles Hollar | Durham, Nc | Jul 29, 2011 | 29 y | 1 |
| Allen Neal Huggins | Durham, Nc | Jul 29, 2011 | 29 y | 1 |
| Lorren Manton BryantCertified Financial Planner | Carrboro, Nc | Jul 29, 2011 | 36 y | 1 |
| Michael Lee Decamillis | Durham, Nc | Jul 29, 2011 | 23 y | 3 |
| Steven James Lewis | Aberdeen, Nc | Jul 29, 2011 | 40 y | 4 |
| Amy Louise Simonson | Durham, Nc | Jul 29, 2011 | 33 y | 1 |
| Sean Jennings Mcgill | Durham, Nc | Jul 29, 2011 | 33 y | 1 |
| Christopher Charles Bolles | Durham, Nc | Jul 29, 2011 | 20 y | 1 |
| Malcolm Mceachern TrevillianChartered Financial Analyst | Durham, Nc | Jul 29, 2011 | 20 y | 3 |
| Brian Richard Kurtzer | Durham, Nc | Jul 29, 2011 | 21 y | 1 |
| Gordon Thomas Wegwart | Durham, Nc | Jul 29, 2011 | 43 y | 1 |
| Ronald Wiatt Gibbs | Durham, Nc | Apr 10, 2012 | 31 y | 2 |
| Brad Nolan Corbett | Durham, Nc | Sep 15, 2014 | 28 y | 0 |
| John Clinton Rudd | Blacksburg, Va | Jul 13, 2017 | 16 y | 0 |
| Gregory Komsky | Durham, Nc | Nov 17, 2017 | 15 y | 3 |
| Daniel Krause | Durham, Nc | Mar 19, 2018 | 18 y | 1 |
| Albert John Otto | Marietta, Ga | Jun 5, 2018 | 42 y | 5 |
| Conrad Thomas Walker | Danville, Ca | Aug 21, 2018 | 10 y | 0 |
| Eric Lowell Anderson | Durham, Nc | Aug 28, 2018 | 18 y | 0 |
| Erik James Neville | Highland, Ut | Jan 10, 2019 | 20 y | 0 |
| John Glenn Davis | New Braunfels, Tx | Mar 6, 2019 | 12 y | 0 |
| William Melvin DurhamCertified Financial Planner | Tallahassee, Fl | Jun 6, 2019 | 44 y | 1 |
| Kc Jack Trace | Durham, Nc | Sep 26, 2019 | 19 y | 0 |
| Christopher Michael HarrisonCertified Financial Planner | Durham, Nc | Mar 5, 2020 | 14 y | 1 |
| Ellen Beaman BaileyCertified Financial Planner | Raleigh, Nc | Jul 7, 2020 | 16 y | 2 |
| Michael Raymond Hazen | Durham, Nc | Oct 20, 2020 | 21 y | 3 |
| Richard Cecchi | Ronkonkoma, Ny | Mar 30, 2021 | 35 y | 0 |
| David Michael Cox | Durham, Nc | Apr 1, 2021 | 20 y | 0 |
| Michael N Timofeeff | Elmira, Ny | Apr 13, 2021 | 18 y | 0 |
| Jacqueline Ann Mallinson | Durham, Nc | Oct 26, 2021 | 13 y | 0 |
| Raymond Adam MennaCertified Financial Planner | Durham, Nc | Oct 27, 2021 | 37 y | 2 |
| Rachel Alexandra Gentz | Ronkonkoma, Ny | Nov 27, 2021 | 12 y | 0 |
| Nickolas Le Moes | Southlake, Tx | Jan 6, 2022 | 10 y | 0 |
| Sujatha Reddy AvutuChartered Financial Analyst | Durham, Nc | Jan 7, 2022 | 32 y | 1 |
| Clayton Andrew Fillian | Durham, Nc | Apr 14, 2023 | 11 y | 0 |
| Randy Allan Olfers | Boerne, Tx | Jul 11, 2023 | 23 y | 3 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 5.7% of current headcount8 left over 36 months
Left, latest
- Logan Richard Harris to Simplicity WealthJul 20, 2026 · RIA to RIA
- Ronald Henry Somers to Foundations Investment Advisors LLCMay 27, 2026 · RIA to RIA
- Peter James Hynes to Oneascent Financial Services LLCDec 1, 2025 · RIA to RIA
- Trevor Lawrence Mcghie to Serenity Investment AdvisorsSep 10, 2025 · RIA to RIA
- David Kenneth Denoble to Stronghold Capital Partners LLCJan 2, 2025 · RIA to a state-registered adviser
- William Scott Barnes to Acrylic Financial, Inc.Jul 17, 2024 · RIA to RIA
- John Eric Rowden to Forthright CapitalFeb 21, 2024 · RIA to RIA
- Andrew Kent Toolson to Kinetic Investment Management, Inc.Feb 1, 2024 · RIA to RIA
- Gianna Mary Campo to Blackridge Asset Management, LLCJan 27, 2023 · RIA to affiliated broker-dealer or bank
- Brock Michael Mckinley to Encompass More LLCDec 1, 2022 · Other
- Benjamin Andrew Jerome to Encompass More Asset Management LLCNov 30, 2022 · RIA to a newly registered adviser
- Erik Ong to Encompass More Asset Management LLCNov 30, 2022 · RIA to a newly registered adviser
- Andrew Lewis to Encompass More Asset Management LLCNov 30, 2022 · RIA to a newly registered adviser
- Ginger A. Noteboom to Encompass More Asset Management LLCNov 30, 2022 · RIA to a newly registered adviser
- Christopher Raymond Reid to Encompass More Asset Management LLCNov 30, 2022 · RIA to a newly registered adviser
Joined, latest
- Jason Paul Gollhofer from Gwn Securities Inc.Jun 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Gerardo Vergara from Ameriprise Financial Services, LLCDec 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jo Beth Mullens from Old Peak FinanceApr 3, 2024 · RIA to RIA
- John Lee Martin from Irongate Partners, Inc.Feb 8, 2024 · Other
- Logan Richard Harris from Eaton Financial GroupDec 19, 2023 · RIA to RIA
- Andrew Kent Toolson from Horter Investment Management, LLCNov 1, 2023 · Other
- John Eric Rowden from Td Ameritrade Investment Management, LLCJul 25, 2023 · Other
- Randy Allan Olfers from Investment Professionals, Inc.Jul 11, 2023 · Other
- Sujatha Reddy Avutu from Merit Financial LLCJan 7, 2022 · Other
- Raymond Adam Menna from Planmember Securities CorporationOct 27, 2021 · RIA to RIA
- Debra Diane Starkey from Key Investment Services LLCSep 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Robert Joel Eisenberg from Brookstone Capital Management LLCSep 10, 2021 · RIA to RIA
- Evangeline Alderton Lodwick from Valic Financial Advisors, Inc.Aug 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- Juan Lopez from Msi Financial Services, Inc.May 18, 2021 · Other
- Amy L Ciesielka from Bankers Life Advisory Services, Inc.May 11, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Encompass More Asset Management LLCNov 30, 2022 · Gilbert, Az
- 3 left for Encompass More Asset Management LLCNov 30, 2022 · Roseville, Ca
- 2 left for Encompass More Asset Management LLCNov 30, 2022 · Lake Forest, Il
- 6 left for Encompass More Asset Management LLCNov 30, 2022 · Durham, Nc
- 4 left for Encompass More Asset Management LLCNov 30, 2022 · Monroeville, Pa
- 2 left for Encompass More Asset Management LLCSep 28, 2022 · Durham, Nc
- 2 joined from Encompass More LLCNov 16, 2017 · Oakdale, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ventana, LLCno longer reported | Real Estate Fund | $90,595 | 33 | Jan 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Jennings Sean Mcgill · Vice President / Director Of Advisor Servicescontrolsince 09/1996 · owns less than 5%
- Alan Jeff Munsey · Vice Presidentcontrolsince 07/1996 · owns less than 5%
- Louise Amy Simonson · Vice President/Finance And Operationscontrolsince 07/1996 · owns less than 5%
- Thomas Gordon Wegwart · President/Chief Compliance Officer/Chief Investment Officercontrolsince 09/1996 · owns less than 5%
- Thomas Gordon Wegwart · President/Shareholdercontrolsince 07/1996 · owns 25% to 50% of Verity Financial Group, Inc.
Entity owners
- Verity Financial Group, Inc. · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- Gregory I. Herman-Giddensn
- Gretchen R. Stroemerinsurancen
- John C. Ruddinsurancen
- John Lee Martin IIinsurancen
- Richard Cecchiinsurancen
- Verity Financial Group, Inc.real estatey
- Verity Investments, Inc.broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Durham, Nc · principal | 52 | 5 | 3 | ||
| Oakdale, Ca | 5 | 1 | 0 | ||
| Ronkonkoma, Ny | 5 | 1 | 0 | ||
| Wilmington, Nc | 3 | 0 | 0 | ||
| Blacksburg, Va | 2 | 0 | 0 | ||
| Raleigh, Nc | 2 | 0 | 0 | ||
| Tallahassee, Fl | 2 | 0 | 0 | ||
| Hutto, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oakdale, CA5 employees
- Ronkonkoma, NY4 employees
- Tallahassee, FL3 employees
- Blacksburg, VA2 employees
- Wilmington, NC2 employees
- Carrboro, NC1 employees
- Oakdale, CA1 employees
- Boerne, TX1 employees
- Keller, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 7,199 to 7,603Jan 5, 2026 to Mar 31, 2026
- Advisory employees · 57 to 54Jan 5, 2026 to Mar 31, 2026
- BD registered reps · 30 to 26Jan 5, 2026 to Mar 31, 2026
- HNW clients · 210 to 201Jan 5, 2026 to Mar 31, 2026
- Individual clients · 5,483 to 5,602Jan 5, 2026 to Mar 31, 2026
- Pension plan clients · 15 to 17Jan 5, 2026 to Mar 31, 2026
- Employees · 67 to 77Jan 5, 2026 to Mar 31, 2026
- State-registered IARs · 57 to 54Jan 5, 2026 to Mar 31, 2026
- Other offices · 11 to 10Jan 5, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $1.2BJan 5, 2026 to Mar 31, 2026
- HNW RAUM · $407M to $434MJan 5, 2026 to Mar 31, 2026
- Individual RAUM · $428M to $412MJan 5, 2026 to Mar 31, 2026
- Pension RAUM · $20.1M to $31.4MJan 5, 2026 to Mar 31, 2026
- RAUM · $1.0B to $1.2BJan 5, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Aug 29, 2025 to Nov 10, 2025
- Related adviser · false to trueJun 6, 2025 to Jul 21, 2025
- Accounts · 8,036 to 7,199Feb 14, 2025 to Mar 31, 2025
- Advisory employees · 55 to 57Feb 14, 2025 to Mar 31, 2025
- Advisory activities · 8 to 7Feb 14, 2025 to Mar 31, 2025
- BD registered reps · 31 to 30Feb 14, 2025 to Mar 31, 2025
- Corporate clients · 4 to 3Feb 14, 2025 to Mar 31, 2025
- HNW clients · 165 to 210Feb 14, 2025 to Mar 31, 2025
- Individual clients · 4,437 to 5,483Feb 14, 2025 to Mar 31, 2025
- Pension plan clients · 18 to 15Feb 14, 2025 to Mar 31, 2025
- Employees · 64 to 67Feb 14, 2025 to Mar 31, 2025
- State-registered IARs · 59 to 57Feb 14, 2025 to Mar 31, 2025
- Other offices · 9 to 11Feb 14, 2025 to Mar 31, 2025
- Discretionary RAUM · $903M to $1.0BFeb 14, 2025 to Mar 31, 2025
- HNW RAUM · $318M to $407MFeb 14, 2025 to Mar 31, 2025
- Individual RAUM · $333M to $428MFeb 14, 2025 to Mar 31, 2025
- Pension RAUM · $19.0M to $20.1MFeb 14, 2025 to Mar 31, 2025
- RAUM · $903M to $1.0BFeb 14, 2025 to Mar 31, 2025
- Accounts · 7,489 to 8,036Dec 1, 2023 to Mar 29, 2024
- Advisory employees · 51 to 55Dec 1, 2023 to Mar 29, 2024
- Advisory activities · 7 to 8Dec 1, 2023 to Mar 29, 2024
- BD registered reps · 30 to 31Dec 1, 2023 to Mar 29, 2024
- Corporate clients · 5 to 4Dec 1, 2023 to Mar 29, 2024
- HNW clients · 136 to 165Dec 1, 2023 to Mar 29, 2024
- Individual clients · 4,014 to 4,437Dec 1, 2023 to Mar 29, 2024
- Pension plan clients · 16 to 18Dec 1, 2023 to Mar 29, 2024
Signals
52 dated events
- Logan Richard Harris left Verity Asset Management for Simplicity Wealth (registered 2026-08-06)Jul 20, 2026 · Advisor changed firm · fact
- Ronald Henry Somers left Verity Asset Management for Foundations Investment Advisors Llc (registered 2026-06-09)May 27, 2026 · Advisor changed firm · fact
- Peter James Hynes left Verity Asset Management for Oneascent Financial Services Llc (registered 2025-12-01)Dec 1, 2025 · Advisor changed firm · fact
- Trevor Lawrence Mcghie left Verity Asset Management for Serenity Investment Advisors (registered 2025-09-10)Sep 10, 2025 · Advisor changed firm · fact
- David Kenneth Denoble left Verity Asset Management for Stronghold Capital Partners Llc (registered 2026-01-13)Jan 2, 2025 · Advisor changed firm · fact
- William Scott Barnes left Verity Asset Management for Acrylic Financial, Inc. (registered 2025-02-07)Jul 17, 2024 · Advisor changed firm · fact
- John Eric Rowden left Verity Asset Management for Forthright Capital (registered 2024-02-26)Feb 21, 2024 · Advisor changed firm · fact
- Andrew Kent Toolson left Verity Asset Management for Kinetic Investment Management, Inc. (registered 2025-03-17)Feb 1, 2024 · Advisor changed firm · fact
- Verity Asset Management reported 51 state-registered advisory representatives, down from 80 (2022-12-02 to 2023-03-24)Mar 24, 2023 · Advisor headcount change · derived
- Gianna Mary Campo left Verity Asset Management for Blackridge Asset Management, Llc (registered 2023-03-06)Jan 27, 2023 · Advisor changed firm · fact
- Verity Asset Management reported 8 offices beyond its principal office, down from 15 (2022-09-02 to 2022-12-02)Dec 2, 2022 · Office count change · derived
- Brock Michael Mckinley left Verity Asset Management for Encompass More Llc (registered 2018-07-25)Dec 1, 2022 · Advisor changed firm · fact
- Andrew Michael Woods left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-09)Nov 30, 2022 · Advisor changed firm · fact
- Christopher Michael Chatto left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-08-25)Nov 30, 2022 · Advisor changed firm · fact
- Scott Ledford Bacon left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-09)Nov 30, 2022 · Advisor changed firm · fact
- Amber Elaine Alguire left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-01)Nov 30, 2022 · Advisor changed firm · fact
- Dominic Raymond Defreece left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-08-31)Nov 30, 2022 · Advisor changed firm · fact
- Jonathan David Miller left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-09)Nov 30, 2022 · Advisor changed firm · fact
- Steven Jack Hefter left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-08-31)Nov 30, 2022 · Advisor changed firm · fact
- James Adam Johnson left Verity Asset Management for Encompass More Asset Management Llc (registered 2025-03-21)Nov 30, 2022 · Advisor changed firm · fact
- Andrew Lewis left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-15)Nov 30, 2022 · Advisor changed firm · fact
- Benjamin Andrew Jerome left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-02)Nov 30, 2022 · Advisor changed firm · fact
- Donald Spini left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-14)Nov 30, 2022 · Advisor changed firm · fact
- Erik Ong left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-08-31)Nov 30, 2022 · Advisor changed firm · fact
- Cameron Christian Clay left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-16)Nov 30, 2022 · Advisor changed firm · fact
- Larry Rufus Daniels left Verity Asset Management for Encompass More Asset Management Llc (registered 2023-04-24)Nov 30, 2022 · Advisor changed firm · fact
- Debra Diane Starkey left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-09)Nov 30, 2022 · Advisor changed firm · fact
- Catherine Michelle Anderson left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-01)Nov 30, 2022 · Advisor changed firm · fact
- Dennis Jay Burd left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-08-31)Nov 30, 2022 · Advisor changed firm · fact
- Ginger A. Noteboom left Verity Asset Management for Encompass More Asset Management Llc (registered 2022-09-14)Nov 30, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-247-6717reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/verity-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- verityinvest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 919-490-6717reportedpublic record, Form ADV, Jun 5, 2026
- Contact form
- verityinvest.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- verityinvest.com/our-team/management-and-staffreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Verity Asset Management is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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