Broker-dealer firm · Bethlehem, PA
Valley National Advisers Inc
SEC-registered investment adviser · CRD 110788 · SEC 801-25126
At a glance
Valley National Advisers Inc is an SEC-registered investment adviser based in Bethlehem, Pennsylvania, with $1.3 billion in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,353 individual clients. By Form ADV it is a broker-dealer firm, ranked 155th of 391 broker-dealer firms and 4,626th of 17,210 SEC-registered advisers by assets.
Main office 610-868-9000valleynationalgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among broker-dealer firms
- #155 of 391
- Rank among all SEC RIAs
- #4,626 of 17,210
- Rank in Pennsylvania
- #171 of 564
- Individual clients
- 1,353
- High-net-worth clients
- 410
- Accounts
- 4,912
- Discretionary
- 100% of AUM
- Employees
- 13
- Advisory staff
- 10
- Offices
- 3
Owners and executives on its Form ADV
- Thomas M. RiddleChairman
- Matthew E PetrozelliChief Executive Officer and Chief Compliance Officer
Custody and brokerage
Custodian
Valley National Advisers Inc’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Valley National Advisers Inc is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Valley National Investments, Inc..
- Valley National Investments, Inc. ↗CRD 16715
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity) and Charles Schwab, which hold the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 410 | $1.1B | 81% |
| Individuals | 943 | $229M | 17% |
| Corporations or other businesses | 18 | $6M | <1% |
| Charitable organizations | 10 | $5M | <1% |
| Pension and profit sharing plans | 10 | $4M | <1% |
Disciplinary disclosures
Valley National Advisers Inc 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 businesses and institutions
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗valleynationalgroup.com ↗
AtlasMembers
The full record on Valley National Advisers 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, ten years of filings
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- Growth over one, three and five years
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- Rank against 115 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- 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 National Advisers Inc manage?
Valley National Advisers Inc reports $1.3 billion in regulatory assets under management across 4,912 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Valley National Advisers Inc?
Valley National Advisers 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.
Who are Valley National Advisers Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($1.1 billion, 410 clients); individuals ($229 million, 943 clients); corporations or other businesses ($6 million, 18 clients).
Does Valley National Advisers Inc have any disciplinary history?
Valley National Advisers Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Valley National Advisers 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 (2026-03-27), 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 →