Valley Financial Management, Inc.
Registered investment adviser · New York, NY · CRD #105387
Form ADV data as of 2026-09-01Regulatory assets
$473,254
Total accounts
129
Employees
124
Disclosure events
2
Firm details
- Website: https://www.linkedin.com/company/valleybank/
- Telephone: 212-407-4362
- SEC file number: 801-113685
- Most recent Form ADV filing: 2026-02-05
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $473,254 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $473,254 |
| Discretionary accounts | 129 |
| Non-discretionary accounts | 0 |
| Total accounts | 129 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 124 |
| Employees performing investment advisory functions (including research) | 5 |
| Employees who are registered representatives of a broker-dealer | 51 |
| Employees registered as investment adviser representatives with a state | 37 |
| Employees registered as IARs for another investment adviser | 37 |
| Employees who are licensed insurance agents | 17 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Executes agency cross transactions involving advisory client securities
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 120 | $466,962 |
| High net worth individuals | 4 | $6,292 |