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VERITY ASSET MANAGEMENT, INC.

dba VERITY ASSET MANAGEMENT · CRD 158667 · Registered Investment Adviser

Regulatory disclosure

VERITY ASSET MANAGEMENT, INC. is a Registered Investment Adviser headquartered in DURHAM, NC. The firm reports $1,154,371,169 in regulatory assets under management across 7,603 accounts. It reports 4 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$1,154,371,169
Non-discretionary$0
Total RAUM$1,154,371,169
Accounts7,603

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 4 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 158667. adviserinfo.sec.gov/firm/summary/158667.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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