INTEGRITY RIA, LLC of LAFAYETTE, LA is an SEC-registered investment adviser (CRD 150415). Regulatory assets under management: $130.5M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Shawn Mitchell Defoe | PRESIDENT & CCO | — |
| DEFOE SHAWN MITCHELL | PRESIDENT & CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-11-30 | regulatory | THE FIRM DIDN'T REGISTER WITH TEXAS BUT HAD CLIENTS THAT HAD MOVED THERE ARE LIVE THERE OVER 30 CLIENTS. | Final | $13K |
| 2018-11-20 | regulatory | THE STATE OF LA ALLEGED THAT INTEGRITY RIA MADE UNSUITABLE RECOMMENDATIONS TO TWENTY-ONE CLIENTS WHO INVESTED IN A SINGLE OIL AND GAS PRODUCER COMPANY BUT HAD A MODERATE RISK TOLERANCE. THE ORDER FURTHER ALLEGED THAT INTEGRITY RIA FAILED TO MAINTAIN PROPER CLIENT PROFILES FOR SOME OF IT'S CLIENTS; C… | Final | $3K |