Wealth manager, independent · Lafayette, CA
Wallace Advisory Group, LLC
SEC-registered investment adviser · CRD 281049 · SEC 801-106666
At a glance
Wallace Advisory Group, LLC is an SEC-registered investment adviser based in Lafayette, California, with $269 million in regulatory assets under management as of its Form ADV filed January 27, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 87 individual clients. By Form ADV it is a wealth manager, ranked 4,743rd of 8,915 wealth managers and 10,714th of 17,210 SEC-registered advisers by assets.
Main office 925-284-6880wallaceadvisory.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $269M
- Rank among wealth managers
- #4,743 of 8,915
- Rank among all SEC RIAs
- #10,714 of 17,210
- Rank in California
- #1,228 of 1,873
- Individual clients
- 87
- High-net-worth clients
- 35
- Accounts
- 390
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Joseph W. WallaceChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Wallace Advisory Group, LLC is a hybrid RIA: 1 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 January 2026) names M Holdings Securities as the broker-dealer its advisers are registered with.
Commissionable Securities Sales Representative(s) of our firm are registered representatives of M Holdings Securities , member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 35 | $160M | 59% |
| Individuals | 52 | $109M | 41% |
Disciplinary disclosures
Wallace Advisory Group, 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
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗wallaceadvisory.com ↗
AtlasMembers
The full record on Wallace Advisory Group, 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, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 6,452 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- 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.
Background
Questions
How much does Wallace Advisory Group, LLC manage?
Wallace Advisory Group, LLC reports $269 million in regulatory assets under management across 390 accounts, 100% of it on a discretionary basis, on its Form ADV filed January 27, 2026.
What kind of firm is Wallace Advisory Group, LLC?
Wallace Advisory Group, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Wallace Advisory Group, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($160 million, 35 clients); individuals ($109 million, 52 clients).
Does Wallace Advisory Group, LLC have any disciplinary history?
Wallace Advisory Group, LLC 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 Wallace Advisory Group, 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 (2026-01-27), 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 →