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Daniel Lodes

Integrity Alliance, LLC
25 Years of Experience
Punta Gorda, FL
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Daniel Lodes is a registered investment advisor at Integrity Alliance, LLC, based in Punta Gorda, FL, with 25 years of industry experience. Daniel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 10,885 clients with $5.4B in assets under management.

Integrity Alliance, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
461 advisors
Number of Clients
10,885 clients
Average Client Portfolio
$497K average
Assets Under Management
$5.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $3.0M1.00%
$3M+0.50%

Schedule reflects base Select Program fees. Total fees can include additional advisor fees, platform fees, and third-party manager costs up to 2.80% annually. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2000 Rio De Janeiro Ave, Suite 4, Punta Gorda, FL, 33983

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2014
Settled
Customer Dispute
October 2013
Settled
Customer Dispute
July 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Daniel operates under the DBA Wealth Advisors Group Inc., focusing on securities business, sales, and financial services, dedicating most of his time to this activity. He also works as an insurance agent selling fixed and life insurance, spending about 10-20% of his time on this.

Employment History
Current Registrations
Integrity Alliance, LLC
December 2017 - Present · 8 yrs 10 mos
Integrity Alliance, LLC.Broker
December 2017 - Present · 8 yrs 10 mos
Integrity Alliance, LLC.
December 2017 - Present · 8 yrs 10 mos
Previous Registrations
Kovack Advisors, INC.
June 2013 - January 2018 · 4 yrs 7 mos
Kovack Securities INC.Broker
June 2013 - December 2017 · 4 yrs 6 mos
J. W. Cole Advisors, INC.
October 2007 - May 2013 · 5 yrs 7 mos
J.W. Cole Financial, INC.Broker
October 2007 - May 2013 · 5 yrs 7 mos
NFP Securities, INC.
February 2005 - October 2007 · 2 yrs 8 mos
NFP Securities, INC.Broker
January 2005 - October 2007 · 2 yrs 9 mos
Sii Investments, INC.
April 2002 - February 2005 · 2 yrs 10 mos
Sii Investments, INC.Broker
March 2002 - February 2005 · 2 yrs 11 mos
Salomon Smith Barney INC.Broker
May 2001 - March 2002 · 10 mos
State Registrations13 states
AKCACOFLGAINMAMDMINJNYOHSC
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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