Integrity Asset Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$49,116,577
Clients
66
17% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
66
Very HighAverage account size
$744,191
About
Integrity Asset Management, LLC is an SEC‑registered investment adviser that provides ongoing portfolio management and financial planning to individual and high‑net‑worth clients. The solo adviser manages both discretionary and non‑discretionary accounts and recommends a range of investments including equities, fixed income, ETFs, real estate funds (including REITs), annuities, commodities and options, with roughly $49 million in assets under management for about 66 clients.
The firm documents client objectives and risk tolerances in an Investment Policy Statement and uses charting, fundamental analysis and modern portfolio theory to construct and monitor portfolios; strategies can include long‑ and short‑term trading as well as margin and options when appropriate. IAM seeks discretionary authority for trading, reports account activity regularly through custodial statements, and states it follows fiduciary duties and best‑execution practices.
Noteworthy for a firm of its size, the brochure discloses that the firm’s principal has ownership interests in related real‑estate entities and other private business ventures and may offer investment opportunities from those activities, a potential source of conflicts that IAM discloses to clients. The firm also manages at least one account that pays a performance‑based fee (with a high‑water‑mark provision) while maintaining policies intended to prevent systematic advantage between performance‑fee and non‑performance‑fee accounts.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Annuities
Fee options
Up to $25,000 fixed fee for creating client financial plans
$0 - $1,000,000: 1.00% annually $1,000,001 - $10,000,000: 0.75% annually $10,000,001 - And Up: 0.50% annually
Up to $500 per hour for financial planning services
Performance fee based on capital appreciation with a high water mark; annual fee percentage not specified, negotiable
Main office location
Integrity Asset Management, LLC
Hawthorne CA, United States
Number of offices
1
Most active in
Integrity Asset Management, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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