VERITY ASSET MANAGEMENT, INC.

HTTP://WWW.VERITYINVEST.COM DURHAM, NC Investment Advisor How do I update this listing?

Verity Asset Management is based out of Durham. Verity Asset Management is a large advisory firm with 2613 clients and discretionary assets under management (AUM) of $428,759,341 (Form ADV from 2019-01-02). Their last reported 13F filing for Q4 2018 included $74,634,000 in managed 13F securities and a top 10 holdings concentration of 36.59%. Verity Asset Management's largest holding is SPDR Dow Jones Industrial Average ETF Trust with shares held of 21,866. Whalewisdom has at least 20 13F filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $74.634 Million
  • Prior Market Value $101.341 Million
  • New Purchases24 stocks
  • Additional Purchases43 stocks
  • Sold out of51 stocks
  • Reduced holdings in35 stocks
  • Top 10 Holdings % 36.59 %
  • Turnover % [1]:70.75%
  • Turnover Alt % [2]: 61.44 %
  • Time Held Top20:2.60 quarters
  • Time Held Top10:2.50 quarters
  • Time Held All:3.68 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: -0.48%
Performance Last 4 Quarters: -0.15%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

VERITY ASSET MANAGEMENT
280 S. MANGUM STREET SUITE 550
DURHAM NC    27701
Country: United States

Business Phone: 919-490-6717
Fax: 919-489-8939
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NC
Number of employees: 35
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 2613
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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VERITY ASSET MANAGEMENT, INC.

ownership team - last updated 2018-06-01
Name Title Start Date Direct/Indirect % Ownership
VERITY FINANCIAL GROUP, INC. PARENT COMPANY 07/01/1996 Direct 75% or more
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. PARENT COMPANY direct 1996-07-01
VERITY ASSET MANAGEMENT, INC. PARENT COMPANY direct 1996-07-01
WEGWART, GORDON, THOMAS PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER 09/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY INVESTMENTS, INC. PRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER direct 1996-09-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/SHAREHOLDER indirect 1996-07-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/CHIEF INVESTMENT OFFICER direct 1996-09-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER direct 1996-09-01
MCGILL, SEAN, JENNINGS VICE PRESIDENT 09/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY INVESTMENTS, INC. VICE PRESIDENT direct 1996-09-01
VERITY ASSET MANAGEMENT, INC. VICE PRESIDENT direct 1996-09-01
SIMONSON, AMY, LOUISE VICE PRESIDENT/FINANCE AND OPERATIONS 07/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. VICE PRESIDENT/CHIEF FINANCIAL OFFICER direct 1996-07-01
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY ASSET MANAGEMENT, INC. VICE PRESIDENT/FINANCE AND OPERATIONS direct 1996-07-01
MUNSEY, JEFF, ALAN VICE PRESIDENT 07/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. VICE PRESIDENT direct 1996-07-01
VERITY ASSET MANAGEMENT, INC. VICE PRESIDENT direct 1996-07-01
WEGWART, GORDON, THOMAS PRESIDENT/SHAREHOLDER VERITY FINANCIAL GROUP, INC. 07/01/1996 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY INVESTMENTS, INC. SHAREHOLDER indirect 1996-07-01
VERITY INVESTMENTS, INC. PRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER direct 1996-09-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/SHAREHOLDER indirect 1996-07-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/CHIEF INVESTMENT OFFICER direct 1996-09-01
VERITY ASSET MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER direct 1996-09-01

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