Valley Wealth Strategies, LLC

CRD#289737
Investment Advisor Firm

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Learn more about Valley Wealth Strategies, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Valley Wealth Strategies, LLC is located at 404 W. Pine Street, Lodi, CA. The firm employs 25 financial advisors to manage client portfolios and provide financial guidance. Valley Wealth Strategies, LLC is not a registered broker-dealer.

    Valley Wealth Strategies, LLC oversees $1.0 billion in assets under management across 4,110 accounts, of which 600 are discretionary and 3,510 are non-discretionary. Over the past year, the firm has provided financial planning services to between 101 and 250 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. The firm caters to retail investors, high net worth investors, and pension plans, with retail investors being the largest client type by accounts. The fee structure at Valley Wealth Strategies, LLC includes asset-based, hourly, and fixed fees. The firm has 225 high net worth clients and maintains affiliations with a lawyer or law firm and an insurance company or agency.

    Valley Wealth Strategies, LLC is registered in the states of Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Illinois, Indiana, Massachusetts, Nevada, New Mexico, New York, Oregon, Tennessee, Texas, Utah, Virginia, and Washington.

    Assets Under Management

    $1.0 billion

    Number of Advisors

    25

    Disclosures

    No

    Office Location

    404 W. Pine Street
    Lodi, CA 95240

    Valley Wealth Strategies, LLC by the Numbers

    Total Assets Under Management

    $1.0 billion

    National Average: $8.6 billion
    Total Number of Employees

    30

    National Average: 64
    Total Number of Accounts

    4,110

    National Average: 375,227
    Average Account Size

    $248.5 thousand

    National Average: $23.0 thousand
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    Products and Services

    Valley Wealth Strategies, LLC provides a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. In the past financial year, Valley Wealth Strategies, LLC provided 101-250 of its customers with financial planning services. The Company is engaged in selling products or offering services aside from investment advice to its customers.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Financial advisory fees usually are based on which service is offered. Fees charged by Valley Wealth Strategies, LLC may include some combination of the following fee types: asset-based, hourly, or fixed.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company works with retail investors, high net worth investors, and pension plans. Out of its 3 clients, Valley Wealth Strategies, LLC's largest client group by number of accounts is retail investors, but it also manages money for 225 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of at least $1,50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 7.94%
    • Other Individuals - 91.71%
    • Corporations - 0.35%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Valley Wealth Strategies, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Valley Wealth Strategies, LLC

    Cherie Wang
    Placentia, CA
    Eric Hughes
    Sunnyvale, CA
    Caleb Sasson
    Menlo Park, CA
    Broc Wavra
    Brawley, CA
    Joshua Schefers
    Walnut Creek, CA
    Daniel Buster
    Lake Forest, CA
    Narine Mardanyan
    Lake Forest, CA
    Robert Hornaday
    Briarcliff, TX
    David Phillips
    Walnut Creek, CA

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