VALLEY WEALTH STRATEGIES, LLC
Adviser information for VALLEY WEALTH STRATEGIES, LLC last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 26 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 25 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 600 | $175.4M |
| Non-Discretionary | 3,510 | $846.1M |
| Total | 4,110 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,600 | $766.3M |
| HNW Individuals | 225 | $247.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 10 | $7.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 40 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113081 |
|---|---|
| SEC ERA File Number | 801-113081 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289737 |
| Legal Entity Identifier | None |
Principal Office
404 W. PINE STREETSUITE 6
LODI
CA
United States
Monday - Friday, 7:00 AM - 5:00 PM
Tel: (209) 366-1264, Fax: (209) 334-4217
Chief Compliance Officer
OSCAR MARTINEZ
22956 EL TORO ROAD
LAKE FOREST
CA
United States
Tel:
(949) 472-8480
Fax:
(949) 472-6176
O********@***************M
(Full email address available in API data)
Industry Affiliates
| ZUK FINANCIAL GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAYMOND, DANIEL, ALAN | Individual | – | MANAGING MEMBER & PRESIDENT | 01/2017 | 50-75% |
| KEY, PAULA, LEANN | Individual | – | MANAGING MEMBER | 01/2017 | 50-75% |
| MARTINEZ, OSCAR | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2020 | < 5% |