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VALLEY WEALTH STRATEGIES, LLC
CRD 289737File 801-113081
APPROVED
Retail clients
Custody
Filing as of Jun 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.45B
Above cohort median (national)
Discretionary AUM
$448.3M
Non-discretionary $999.4M
Clients
4,055
6,774 accounts
Employees
59
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Apr 27, 2018
- Principal office
- 404 W. PINE STREET, SUITE 6, LODI, CA, 95240
- Phone
- (209) 366-1264
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.45B
- Discretionary AUM
- $448.3M
- Non-discretionary AUM
- $999.4M
- Discretionary accounts
- 1,090
- Non-discretionary accounts
- 5,684
- Total accounts
- 6,774
- AUM per client
- $357K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $2.5M |
| Charitable organizations | 16 | $41.7M |
| High net worth individuals | 277 | $495.0M |
| Pension and profit sharing plans | 68 | $38.0M |
| Individuals (other than high net worth individuals) | 3,689 | $870.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 30 | 59 | increased by29 |
| Mar 1, 2026 | Clients | 4,905 | 4,055 | decreased by850 |
| Mar 1, 2026 | AUM | $1,205,186,000 | $1,447,751,335 | increased by$242,565,335 |
| Mar 1, 2026 | Accounts | 8,131 | 6,774 | decreased by1,357 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 27 | 30 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,970 | 4,905 | increased by935 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,005,000,000 | $1,205,186,000 | increased by$200,186,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,729 | 8,131 | increased by2,402 |
| Apr 1, 2022 | Employees | 59 | 27 | decreased by32 |
| Apr 1, 2022 | Clients | 2,640 | 3,970 | increased by1,330 |
| Apr 1, 2022 | AUM | $848,230,007 | $1,005,000,000 | increased by$156,769,993 |
| Apr 1, 2022 | Accounts | 3,790 | 5,729 | increased by1,939 |
| 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 WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“VALLEY WEALTH” 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.