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VALLEY FINANCIAL MANAGEMENT, INC.
CRD 105387File 801-113685
APPROVED
Retail clients
Disclosure events
Filing as of Feb 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$473K
Bottom 25% of cohort (national)
Discretionary AUM
$473K
Clients
124
129 accounts
Employees
124
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 27, 2018
- Principal office
- 350 MADISON AVE., COMPLIANCE 4TH FLOOR, NEW YORK, NY, 10017
- Phone
- 212-407-4362
- Website
- https://valley.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $473K
- Discretionary AUM
- $473K
- Non-discretionary AUM
- $0
- Discretionary accounts
- 129
- Non-discretionary accounts
- 0
- Total accounts
- 129
- AUM per client
- $4K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 4 | $6K |
| Individuals (other than high net worth individuals) | 120 | $467K |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 102 | 124 | increased by22 |
| Mar 1, 2026 | Clients | 85 | 124 | increased by39 |
| Mar 1, 2026 | AUM | $55,000 | $473,254 | increased by$418,254 |
| Mar 1, 2026 | Accounts | 60 | 129 | increased by69 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 65 | 102 | increased by37 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 516 | 85 | decreased by431 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $326,493,141 | $55,000 | decreased by$326,438,141 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 516 | 60 | decreased by456 |
| May 1, 2022 | Employees | 72 | 65 | decreased by7 |
| May 1, 2022 | Clients | 169 | 516 | increased by347 |
| May 1, 2022 | AUM | $163,137,765 | $326,493,141 | increased by$163,355,376 |
| May 1, 2022 | Accounts | 274 | 516 | increased by242 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “VALLEY FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“VALLEY FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.