Verity Asset Management

Registered investment adviser · Durham, NC · CRD #158667

Form ADV data as of 2026-09-01

Regulatory assets

$1.15 billion

Total accounts

7,603

Employees

Disclosure events

Firm details

Website: https://www.facebook.com/verityassetmanagement/
Telephone: 919-490-6717
SEC file number: 801-66730
Most recent Form ADV filing: 2026-06-05
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.15 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.15 billion
Discretionary accounts	7,603
Non-discretionary accounts	0
Total accounts	7,603
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	77
Employees performing investment advisory functions (including research)	54
Employees who are registered representatives of a broker-dealer	26
Employees registered as investment adviser representatives with a state	54
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	44
Firms or persons who solicit advisory clients on the firm's behalf	6

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Other

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Accountant or accounting firmInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another sales interest
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	5,602	$411.7 million
High net worth individuals	201	$434.2 million
Investment companies	1	$91.0 million
Pension and profit sharing plans (not the participants or government plans)	17	$31.4 million
Other investment advisers	14	$185.8 million
Corporations or other businesses not listed above	3	$214,035