Wealth manager, independent · Lodi, CA
Valley Wealth Strategies, LLC
SEC-registered investment adviser · CRD 289737 · SEC 801-113081
At a glance
Valley Wealth Strategies, LLC is an SEC-registered investment adviser based in Lodi, California, with $1.4B in regulatory assets under management as of its Form ADV filed June 1, 2026. It reports 3,966 individual clients, 277 of them high-net-worth, holding an average of about $0.3 million each, and 59 employees. That ranks it 761st among the nation’s 5,657 independent wealth management RIAs and 93rd of 714 in California. It reports 3 custodians for its clients’ separately managed accounts: Charles Schwab, LPL Financial and Matrix Trust.
Main office 209-366-1264valleywealthstrategies.comAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among independent wealth managers
- #761 of 5,657
- Rank among all SEC RIAs
- #4,352 of 17,210
- Rank in California
- #93 of 714
- Individual clients
- 3,966
- High-net-worth clients
- 277
- Accounts
- 6,774
- Discretionary
- 31% of AUM
- Employees
- 59
- Advisory staff
- 26
- Offices
- 22
Owners and executives on its Form ADV
- Daniel A. RaymondManaging Member & President
- Oscar MartinezChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Valley Wealth Strategies, LLC is a hybrid RIA: 26 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names LPL Financial as the broker-dealer its advisers are registered with.
ive Affiliation Advisory Persons of VWS are also registered representatives of LPL Financial LLC ("LPL Financial"), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Invest
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 3,689 | $871M | 60% |
| High-net-worth individuals | 277 | $495M | 34% |
| Charitable organizations | 16 | $42M | 3% |
| Pension and profit sharing plans | 68 | $38M | 3% |
| Corporations or other businesses | 5 | $2M | <1% |
Disciplinary disclosures
Valley Wealth Strategies, LLC 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
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗valleywealthstrategies.com ↗
AtlasMembers
The full record on Valley Wealth Strategies, LLC
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 2,596 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Apriem AdvisorsIrvine | $1.5B | 1,060 |
| Eclectic Associates, Inc.Fullerton | $1.5B | 1,207 |
| Serenus Wealth Advisors, LLCSanta Monica | $1.5B | 141 |
| Werba Rubin Papier Wealth Management, LLCSAN Jose | $1.4B | 670 |
| Elyxium Wealth LLCBeverly Hills | $1.4B | 56 |
| Cascade Financial Partners, LLCSAN Diego | $1.4B | 283 |
Background
Questions
How much does Valley Wealth Strategies, LLC manage?
Valley Wealth Strategies, LLC reports $1.4B in regulatory assets under management across 6,774 accounts, 31% of it on a discretionary basis, on its Form ADV filed June 1, 2026.
How many clients does Valley Wealth Strategies, LLC have?
It reports 3,966 individual clients: 277 high-net-worth individuals and 3,689 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Valley Wealth Strategies, LLC headquartered?
Its main office is in Lodi, California. It reports 22 offices in total and 59 employees, 26 of whom perform investment advisory functions.
How does Valley Wealth Strategies, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Valley Wealth Strategies, LLC use?
It reports 3 custodians for its clients’ separately managed accounts: Charles Schwab, LPL Financial and Matrix Trust. On Schedule D of its Form ADV filed June 1, 2026, it reports these amounts held: Charles Schwab ($814M); LPL Financial ($252M); Matrix Trust ($161M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Valley Wealth Strategies, LLC a hybrid RIA with a broker-dealer?
Valley Wealth Strategies, LLC is a hybrid RIA: 26 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 Valley Wealth Strategies, LLC a fiduciary?
As an SEC-registered investment adviser, Valley Wealth Strategies, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 26 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 Valley Wealth Strategies, LLC’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 (2026-06-01), 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 →