Philip Lopez
Philip Lopez is a registered investment advisor at Integrity Alliance, LLC, based in Cleveland, OH, with 31 years of industry experience. Philip operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 14,148 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Integrity Alliance offers investment management through various programs.
Edge Program:
- Fees include a program fee (up to 0.35% annually), an advisor fee (up to 2.00% annually), and potential third-party sub-advisor fees.
Select Program:
- Fees range from 1.00% to 2.80% annually on the first $1,000,000, 1.00% to 2.20% on the next $2,000,000, and 0.50% to 1.75% on assets over $3,000,000.
- A 0.10% trading platform fee is added to the maximum account fee for accounts with the broker-dealer arm.
Fees are assessed on all assets, including cash and money market balances. Margin accounts may incur additional fees. Fees are typically charged quarterly in advance, pro-rated for mid-quarter openings, and adjusted for significant deposits or withdrawals.
Location
950 Main Avenue, Suite 1800, Cleveland, OH, 44113
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Philip is involved in life and health insurance sales through Capital Planners Inc. and also works as a Sales Executive at Oswald Companies selling life insurance, disability, and fixed annuities, taking up a full-time commitment. He also participates in charity events and serves as a board member for the Akron Civic Foundation, and consults on a movie production.
Employment History
Current Registrations
Integrity Alliance, LLC.Broker
Integrity Alliance, LLC
Previous Registrations
Lion Street Financial, LLCBroker
Lion Street Advisors, LLC
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Guardian Investor Services CorporationBroker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.