Broker-dealer firm · New York, NY
Valley Financial Management, Inc.
SEC-registered investment adviser · CRD 105387 · SEC 801-113685
At a glance
Valley Financial Management, Inc. is an SEC-registered investment adviser based in New York, New York, with $473,254 in regulatory assets under management as of its Form ADV filed February 5, 2026. Its largest client group by assets is individuals, and it reports 124 individual clients. By Form ADV it is a broker-dealer firm, ranked 362nd of 391 broker-dealer firms and 16,466th of 17,210 SEC-registered advisers by assets.
Main office 212-407-4362valley.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among broker-dealer firms
- #362 of 391
- Rank among all SEC RIAs
- #16,466 of 17,210
- Rank in New York
- #2,489 of 2,591
- Individual clients
- 124
- High-net-worth clients
- 4
- Accounts
- 129
- Discretionary
- 100% of AUM
- Employees
- 124
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Christopher Michael WilsonChief Compliance Officer
- Joseph Arthur III ColleranPresident / CEO
- Christopher Jon GawleyGeneral Counsel
- Travis LanDirector
- Melissa Joseph SchultzChairperson
- Jamie MayoChief Financial Officer
- Kevin L. ChittendenDirector
Custody and brokerage
Broker-dealer
Hybrid RIA
Valley Financial Management, Inc. is a hybrid RIA: 51 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed February 2026) names Valley Financial Management as the broker-dealer its advisers are registered with.
VFM is also registered as a broker -dealer and certain of its supervised persons are registered representatives of VFM.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 120 | $0M | 99% |
| High-net-worth individuals | 4 | $0M | 1% |
Disciplinary disclosures
Valley Financial Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗valley.com ↗
AtlasMembers
The full record on Valley Financial Management, Inc.
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, 8 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 147 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Valley Financial Management, Inc. manage?
Valley Financial Management, Inc. reports $473,254 in regulatory assets under management across 129 accounts, 100% of it on a discretionary basis, on its Form ADV filed February 5, 2026.
What kind of firm is Valley Financial Management, Inc.?
Valley Financial Management, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Valley Financial Management, Inc.’s clients?
By assets, its largest client types are individuals ($466,962, 120 clients); high-net-worth individuals ($6,292, 4 clients).
Does Valley Financial Management, Inc. have any disciplinary history?
Valley Financial Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Valley Financial Management, Inc.’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 (2026-02-05), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →