Wealth manager, independent · Marlton, NJ
Pine Valley Investments
Pine Valley Investments Limited Liability Company · SEC-registered investment adviser · CRD 173995 · SEC 801-80742
At a glance
Pine Valley Investments is an SEC-registered investment adviser based in Marlton, New Jersey, with $2.7B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 2,070 individual clients, 606 of them high-net-worth, holding an average of about $1.1 million each, and 37 employees. That ranks it 416th among the nation’s 5,657 independent wealth management RIAs and 12th of 157 in New Jersey. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 856-334-8260pinevalleyinvestments.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.7B
- Rank among independent wealth managers
- #416 of 5,657
- Rank among all SEC RIAs
- #3,047 of 17,210
- Rank in New Jersey
- #12 of 157
- Individual clients
- 2,070
- High-net-worth clients
- 606
- Accounts
- 5,785
- Discretionary
- 100% of AUM
- Employees
- 37
- Advisory staff
- 31
- Offices
- 2
Owners and executives on its Form ADV
- Harry E. MoradManaging Member
- Joseph B. DuncanMember
- Max L. SchatzowChief Compliance Officer
- Michael R. ModicaMember (01/2025) & Chief Financial Officer
- Christopher J O'NeillMember (01/2025) and Chief Investment Officer
- Nicholas LamponeMember (01/2025) and Chief Strategy Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Pine Valley Investments is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 606 | $1.9B | 71% |
| Individuals | 1,464 | $388M | 15% |
| Other investment advisers | – | $185M | 7% |
| Pooled investment vehicles | 2 | $124M | 5% |
| Charitable organizations | 25 | $40M | 1% |
| Pension and profit sharing plans | 16 | $29M | 1% |
Private funds
Pine Valley Investments reports 2 private funds with $124M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Pine Valley Investments reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗pinevalleyinvestments.com ↗
AtlasMembers
The full record on Pine Valley Investments
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,516 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New Jersey
All of New Jersey →| Firm | Regulatory AUM | Clients |
|---|---|---|
| RMR Wealth Builders, Inc.Montclair | $2.9B | 1,907 |
| CFS Investment Advisory Services LLCTotowa | $2.7B | 1,139 |
| Valley Wealth Managers, Inc.Paramus | $2.7B | 854 |
| Withum Wealth ManagementRed Bank | $2.3B | 755 |
| TLG Advisors, Inc.Summit | $2.3B | 5,018 |
| Traphagen Financial GroupOradell | $2.3B | 1,922 |
Background
Questions
How much does Pine Valley Investments manage?
Pine Valley Investments reports $2.7B in regulatory assets under management across 5,785 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does Pine Valley Investments have?
It reports 2,070 individual clients: 606 high-net-worth individuals and 1,464 other individuals. Individuals account for about 86% of its regulatory assets.
Where is Pine Valley Investments headquartered?
Its main office is in Marlton, New Jersey. It reports 2 offices in total and 37 employees, 31 of whom perform investment advisory functions.
How does Pine Valley Investments charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Pine Valley Investments use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: Charles Schwab ($2.5B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Pine Valley Investments a hybrid RIA with a broker-dealer?
Pine Valley Investments is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Pine Valley Investments a fiduciary?
As an SEC-registered investment adviser, Pine Valley Investments owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 3 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Pine Valley Investments’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →