NivaLet’s talk

Integrity Alliance

Wealth managementIndependent broker-dealer

Urbandale, IACRD 139627Updated

Integrity Alliance is an investment adviser based in Urbandale, IA, registered with the SEC since 2008. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $5.41 billion, as filed on 13 May 2026.

$5.41B
AUM
10.9K
Clients
$454K
AUM per individual client
322
Advisory staff
129
Offices
See fees
Annual fee

From Form ADV filed 13 May 2026SEC record

Services and clients

Integrity Alliance provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, and educational seminars. Financial planning was provided to 101–250 clients last fiscal year.

Integrity Alliance reports 10,885 clients. They include 9,578 individual clients, 1,082 high-net-worth individuals, and 125 pension and profit-sharing plans. Of its assets, 82.3% ($4.45B across 18,318 accounts) are managed with discretion; $957M across 2,130 accounts are not. A wrap fee program the firm both sponsors and manages holds $2.5B.

Clients and assets by client type
Clients10,885 clients
Assets$5.41B
Share of clients and assets by client type
Client typeClientsAssets
Individuals (other than HNW)88%40%
High-net-worth individuals10%49%
Pension and profit-sharing plans1%7%
Charitable organizations<1%<1%
Corporations and other businesses<1%4%
Client breakdown and activity details
Individuals (other than HNW)
Clients
9,578
Regulatory AUM
$2.18B
AUM share
40.3%
Avg. per client
$228K
High-net-worth individuals
Clients
1,082
Regulatory AUM
$2.66B
AUM share
49.1%
Avg. per client
$2.46M
Pension and profit-sharing plans
Clients
125
Regulatory AUM
$365M
AUM share
6.7%
Avg. per client
$2.92M
Charitable organizations
Clients
5
Regulatory AUM
$6.54M
AUM share
0.1%
Avg. per client
$1.31M
Corporations and other businesses
Clients
95
Regulatory AUM
$200M
AUM share
3.7%
Avg. per client
$2.11M

Total

Clients
10,885
Regulatory AUM
$5.41B
AUM share
100%
Avg. per client
$497K
Clients outside the U.S.
0%
Clients advised without assets under management last fiscal year
0
Private funds advised
0
Financial planning clients last fiscal year
101–250

Integrity Alliance fees and minimums

Integrity Alliance is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.

Who owns Integrity Alliance

American Independent Marketing, LLC owns 75% or more of Integrity Alliance and is in turn owned by Goldencare Holdings, Inc. (75% or more). The leadership team of Integrity Alliance includes President Brian Aukes, Chief Investment Officer Andrew Osby and Chief Financial Officer Andrea K Baker. It has 400 employees, 322 of them in advisory roles.

Leadership

Investment adviser representatives

357 representatives listed in the SEC register as of 9 October 2026.

  • Donald Jeremiah Abernethy
  • Theodore Scott Alexander
  • Ryan Robert Alvarez
  • Jose E Amaya Cisneros
  • James Apostolico
  • Daniel Jacob Arreola
  • Brian Edward Aukes
  • Barry Kingsley Barbernell
  • Jonathan Richard Bath
  • Michael Bauer
  • Viresh Goolabdas Bawa
  • Stephen Wayne Beckmann

Staff

  • 400 employees
  • 322 in advisory functions
  • 342 state-registered reps
  • 306 broker-dealer reps
  • 272 insurance agents
Ownership chain
Integrity Alliance, LLC· the adviser

  • American Independent Marketing, LLC

    Control person · since June 2021

    Owns 75% or more of Integrity Alliance, LLC

    • Goldencare Holdings, Inc.

      Control person · since June 2021

      Owns 75% or more of American Independent Marketing, LLC

      • Integrity Marketing Partners, LLC

        Control person · since June 2021

        Owns 75% or more of Goldencare Holdings, Inc.

        • Integrity Marketing Acquisition, LLC

          Control person · since June 2021

          Owns 75% or more of Integrity Marketing Partners, LLC

          • Integrity Marketing Intermediate

            Control person · since June 2021

            Owns 75% or more of Integrity Marketing Acquisition, LLC

            • Integrity Marketing Parent, LLC

              Control person · since June 2021

              Owns 75% or more of Integrity Marketing Intermediate

              • Integrity, LLC

                Control person · since June 2021

                Owns 75% or more of Integrity Marketing Parent, LLC

  • American Independent Marketing,

    Control person · since June 2021

    Owns 75% or more of Integrity Alliance, LLC

Growth and acquisitions

Integrity Alliance’s regulatory assets grew 5.8× from $941M (July 2021) to $5.41B (May 2026); clients rose from 5,875 to 10,885 and employees from 235 to 400. In 2025, Lion Street Advisors ($3.18B in its last filing) joined it.

By annual filing
Measure
Figures from each annual filing
Integrity Alliance figures from each annual Form ADV filing
FiledRegulatory AUMClientsEmployeesOffices
May 2026$5.41B10,885400129
May 2025$2.41B14,148265129
June 2024$2B11,566260133
June 2023$1.36B8,917224121
March 2022$1.22B6,931248121
July 2021$941M5,875235146

Firms that joined

  1. 20251 joined

    1. Lion Street Advisors
      Form ADV-W, CRD 167610
      Last filed AUM $3.18B

Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.

Offices and registration details

Besides its headquarters, Integrity Alliance has 128 offices, with 26 listed addresses across 15 states.

Listed office addresses by state

Iowa · 2 listed addresses

  • 4135 NW Urbandale DR, UrbandaleHQ
  • 405 Railroad Place, West Des Moines

Other business names

Integrity Alliance has reported 122 other business names to the SEC.

  • 18th Street Financial
  • 22nd State Wealth Management
  • Aaron M Smith Financial Group
  • Affluent Wealth Management
  • Arisgarde
  • Arreola Financial
  • Bell Financial
  • Bluffview Insurance Group
  • Brandt Financial Services, Inc.
  • Bridge Partners
  • Brock Financial Services
  • Brokers Financial
Show all 122 names
  • Brokers International Mountain States
  • Brown Financial Services
  • Bryton Financial
  • CG Financial Group
  • Calibrate Wealth Partners
  • Capital Group, Inc
  • Capital Protect Group
  • Carrick Financial Group
  • Consolidated Financial Management & Tax Service
  • Coverage Solutions
  • Crescent Wealth Management
  • Creutzer Financial Group
  • Curtis & Associates, Inc
  • Danny Horn Financial
  • Dentdelioun, LLC
  • Duke Financial Partners, LLC
  • E.r. Iniguez Financial Group
  • Eghrari Wealth
  • Escobar Financial Services
  • Feliciano Financial Group
  • Financial Integrity Group
  • Finley Davis Financial Group
  • Fiore Tax and Wealth Management
  • Flah & Company
  • Foresight Financial Group
  • Frederick W. Stansberry Solutions
  • Fredericks Wealth Management
  • Freedom Wealth Group
  • Fundamental Value Analytics
  • Gardner Brown Associates, Inc
  • Gateway Retirement Solutions
  • Great River Investment Services, LLC.
  • Gremler Wealth Management
  • HR Wealth Management
  • Heartland Retirement Group Wealth Management
  • Hoosier Advisor and Associates
  • Howard and Howard, LLC.
  • Income and Estate Planning Partners
  • Integrity Wealth
  • Intellectual Business Solutions, LLC
  • Investment Resources of America
  • Island Wealth Advisors, LLC
  • J.C. Warrick & Company
  • JDJ Financial Group
  • JML Financial Group
  • Jett Wealth Management
  • Jones Financial Solutions
  • Kanavy Financial Group, LLC
  • Klyn Financial
  • Kratzer Advisory Group LLC
  • L Lovie Wealth Management
  • Lamb Financial Services
  • Legend Wealth Management
  • Life Income Management
  • Lighthouse Agency Inc
  • Lighthouse Planning Group
  • Lisle Financial Group
  • Lone Wolf Financial
  • M2 (Squared) Wealth Management
  • MJ Financial Services
  • Martini Financial Services
  • McCann Asset Management
  • Medlock Wealth Management
  • Michael J Lucia & Associates
  • Money Advisors Group, Inc.
  • National Investors Inc.
  • Oakmont Group
  • Ozark Financial Services of Nwa, Inc.
  • PMN Financial Associates
  • Paloma Financial Services
  • Paradigm Gilbert
  • Peak360 Wealth Management
  • Pearce Financial Services
  • Perspective Wealth Planning
  • Planningkamp
  • Premier Investment Advisors Group
  • Refined Strategies
  • Reidy Financial
  • Reignmakers Wealth Advisors
  • Retirebydesign
  • Retirement Designers Financial Group, LLC
  • Retirement Planning Advisors
  • Retirement Resources USA, Inc
  • Retirement Solutions of Iowa LLC
  • Richard Olson Financial Group
  • Road to Retirement, Inc
  • Sapiers & Wallack
  • Secure Retirement Solutions, LLC.
  • Shonsey Wealth Management
  • Solomon Wealth Solutions, LLC
  • Stewart Wealth Advisors
  • Sumner Financial Solutions, LLC
  • Swanson Financial
  • TR Financial Group
  • The Cowart Group
  • The Financial Architects
  • The Financial Group of Philadelphia
  • The Ifp Group, Inc
  • The Limpert Group
  • Trio Wealth Advisory
  • Triton Wealth Strategies
  • Truenorth Financial
  • Wallach Financial
  • Wealth Centers of America
  • Wealth Format System
  • Wealth Planning Consultants
  • Wealth RX
  • Wealthadvisors Group
  • Wmburt Advisors
  • Yoder Financial Group

Contact and registration details

Legal name
Integrity Alliance, LLC
Headquarters
4135 NW Urbandale DR, Urbandale, IA 50322
Website
Not reported
Phone
877-886-1939
SEC file
801-69742
Structure
Delaware LLC
Fiscal year end
December

Custodians

Integrity Alliance uses Charles Schwab ($2.75B, 56%), Pershing ($1.32B, 27%) and Assetmark Brokerage ($881M, 18%) as custodians for its separately managed accounts. Integrity Alliance has custody of $1.85B in client assets for 5,316 clients.

Reported separately managed account assets by custodian
$4.96B
named custodians
  • Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $2.75B56%
  • PershingPershing LLC · Jersey City, NJ · $1.32B27%
  • Assetmark BrokerageAssetmark Brokerage, LLC · Concord, CA · $881M18%

Investments and reported holdings

At year end, Integrity Alliance’s separately managed accounts were mostly in funds (67%) and stocks (23%). Its reported 13F holdings for the quarter ended 30 June 2026 total $3.2B across 858 positions; the largest are iShares TR (4.4%), SPDR Series Trust (3.6%) and Dimensional ETF Trust (3.4%).

What the accounts hold

Separately managed account assets by class, year end
  • Stocks23%
  • Funds67%
  • Bonds3%
    • U.S. government and agency bonds1%
    • State and local bonds1%
    • Investment grade corporate bonds1%
  • Cash6%
  • Other1%
    • Advisory annuities.1%

Reported 13F holdings

$3.2B
Reported 13F value
858
Positions
24.8%
In the 10 largest
+21.4%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. iShares TR · Core S&P500 ETF4.4%
  2. SPDR Series Trust · ST Str P500etf3.6%
  3. Dimensional ETF Trust · US Cor Equ 2 ETF3.4%
  4. iShares TR · Core US Aggbd ET2.4%
  5. Invesco Qqq TR · Unit Ser 12.3%
  6. Apple Inc.2.0%
  7. General Mills Inc.1.8%
  8. Vanguard Index Fds · S&P 500 ETF Shs1.7%
  9. iShares TR · Core Univrsl Usd1.7%
  10. Dimensional ETF Trust · Global CR ETF1.5%

Together, the ten largest are 24.8% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 31 July 2026

Common questions

How many clients does Integrity Alliance have?

Integrity Alliance has 10,885 clients and manages $5.41 billion for them, as of May 2026. They include 9,578 individual clients, 1,082 high-net-worth individuals, and 125 pension and profit-sharing plans.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 May 2026

What services does Integrity Alliance offer?

Integrity Alliance provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, and educational seminars.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Integrity Alliance use?

Integrity Alliance’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $2.75B, Pershing LLC (Jersey City, NJ), with $1.32B and Assetmark Brokerage, LLC (Concord, CA), with $881M. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 May 2026

How many financial advisors does Integrity Alliance have?

Integrity Alliance has 342 investment adviser representatives registered with state securities authorities, out of 400 employees, and 322 perform investment advisory functions. 306 employees are registered representatives of a broker-dealer and 272 employees are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Integrity Alliance invest in?

At the end of its last fiscal year, Integrity Alliance’s separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 23% exchange-traded equities, 6% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Advisory Annuities.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Integrity Alliance?

Integrity Alliance is owned through a chain of holding companies by Integrity, LLC. Its direct owners are American Independent Marketing, LLC (75% or more) and American Independent Marketing (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 13 May 2026

How does Integrity Alliance get paid?

Integrity Alliance is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Is Integrity Alliance registered with the SEC?

Yes, Integrity Alliance has been registered with the SEC as an investment adviser since 14 November 2008. Its CRD number is 139627 and its SEC file number is 801-69742.

Source: Form ADV Part 1A, Item 1, filed 13 May 2026; IAPD firm record

How do I contact Integrity Alliance?

Integrity Alliance’s main office is at 4135 NW Urbandale DR, Urbandale, IA 50322. Its phone number is 877-886-1939.

Source: Form ADV Part 1A, Item 1.F, filed 13 May 2026

Sources and methodology

  1. Form ADV Part 1A, amendment filed 13 May 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. ADV PART 2 FIRM BROCHURE, submitted 31 March 2026.
  3. SEC-filed document.
  4. IAPD firm record, CRD 139627.
  5. SEC registered adviser data, annual Form ADV amendments filed 2 July 2021 to 13 May 2026. Items 1.F and 5.
  6. Form ADV-W withdrawals of the firms listed under Growth and acquisitions, each linked to its IAPD record, from the SEC's Form ADV-W data. Item 1.
  7. SEC investment adviser representative register, as of 9 October 2026; loaded 10 October 2026.
  8. Form 13F-HR, filed 31 July 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since. Disciplinary history is not yet shown here. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.

Download source data (JSON)How this directory is compiledReport a correction