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WALLACE ADVISORY GROUP, LLC
CRD 281049File 801-106666
APPROVED
Retail clients
Custody
Filing as of Jan 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$269.5M
Below cohort median (national)
Discretionary AUM
$269.5M
Clients
87
390 accounts
Employees
4
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Oct 1, 2015
- Principal office
- 3658 MOUNT DIABLO BOULEVARD, SUITE 225, LAFAYETTE, CA, 94549
- Phone
- 925-284-6880
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $269.5M
- Discretionary AUM
- $269.5M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 390
- Non-discretionary accounts
- 0
- Total accounts
- 390
- AUM per client
- $3.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 35 | $160.2M |
| Individuals (other than high net worth individuals) | 52 | $109.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Employees | 2 | 4 | increased by2 |
| Feb 1, 2026 | Clients | 130 | 87 | decreased by43 |
| Feb 1, 2026 | AUM | $250,000,000 | $269,452,314 | increased by$19,452,314 |
| Feb 1, 2026 | Accounts | 420 | 390 | decreased by30 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 2 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 108 | 130 | increased by22 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $235,000,000 | $250,000,000 | increased by$15,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 350 | 420 | increased by70 |
| Mar 1, 2022 | Employees | 5 | 4 | decreased by1 |
| Mar 1, 2022 | Clients | 137 | 108 | decreased by29 |
| Mar 1, 2022 | AUM | $180,951,900 | $235,000,000 | increased by$54,048,100 |
| Mar 1, 2022 | Accounts | 293 | 350 | increased by57 |
| 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 “WALLACE ADVISORY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WALLACE ADVISORY” 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.