Xiao Chen
Xiao Chen is a CFP-designated registered investment advisor at Integrity Alliance, LLC, based in Urbandale, IA, with 13 years of industry experience. Xiao 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
4135 NW Urbandale Dr, Urbandale, IA, 50322
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
Xiao is an insurance agent servicing in-force insurance and fixed annuity policies, and also sells fixed insurance and fixed annuity products through Dentdelioun LLC and Lion Street general agency. Additionally, Xiao is involved in music performance/acting, is a board member for the Chinese American Association at Greater Chicago, the Vice President of Hunan Association of the Midwest USA, and owns a notary service.
Employment History
Current Registrations
Integrity Alliance, LLC
Integrity Alliance, LLC.Broker
Previous Registrations
Lion Street Advisors, LLC
Lion Street Financial, LLCBroker
Transamerica Financial Advisors, LLC
Transamerica Financial Advisors, INCBroker
State Registrations13 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.