VERITY ASSET MANAGEMENT, INC.

CRD

158667

SEC file #

801-66730

EIN

561981693

DBA names

Verity Asset Management

Economics

AUM

$1.15B

AUM band

$1B+

AUM trajectory

'20 · $433.8M

'21 · $522.4M

'22 · $660.9M

'23 · $817.8M

'25 · $1.04B

'26 · $1.15B

'20'26

$433.8M → $1.15B▲ +166%

sec adv history

Client mix

Individuals Other	5,602
Individuals High Net Worth	201
Pension Profit Sharing Plans	17
Other Investment Advisers	14
Corporations	3

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 36 advisors

'21 · 68 advisors

'22 · 76 advisors

'23 · 80 advisors

'25 · 57 advisors

'26 · 54 advisors

'20'26

36 advisors → 54 advisors▲ +50%

sec adv history

Primary office

DURHAM NC

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/31/2026

facebook.com/verityassetmanagement(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

VERITY FINANCIAL GROUP, INC.

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

VERITY FINANCIAL GROUP, INC.

MCGILL, SEAN, JENNINGS

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:facebook.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

30,789

Form 5500 Compensation Trajectory 3y

2025

30,789

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

30,789

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001597298

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2014-02-13

Edgar Last Filing Date

2026-04-21

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-21

Accession0001597298-26-000002

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade	5
Fidelity	4
Axos Advisor Services	2

adv brochure

Edgar Addresses

Mailing

280 S MANGUM ST STE 550DURHAM, NC 27701-3683

Business

280 S MANGUM ST STE 550DURHAM, NC 27701-3683

Edgar EIN

561981693

Edgar Recent Filings

13F-HR2026-04-21 · 0001597298-26-000002

13F-HR2026-01-30 · 0001597298-26-000001

Firm Has Custody

Mailing Office Differs

Trust Company Affiliate