Small Victories Wealth
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,726,136
Clients
13
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
13
LowAverage account size
$286,626
About
Small Victories Wealth serves a small roster of individual clients, households and some high‑net‑worth individuals, providing discretionary and nondiscretionary portfolio management alongside a range of financial planning services. The firm offers tailored investment management and multiple planning engagement types, from hourly and project work to ongoing subscription plans.
The firm’s investment approach emphasizes passive portfolio construction informed by modern portfolio theory and fundamental analysis, using low‑cost index funds and ETFs as core holdings while reserving the ability to recommend alternative or less traditional investments when suitable. It subscribes to third‑party model portfolios through a model marketplace and allows clients to impose reasonable, written account restrictions.
Noteworthy features include a tiered offering of ongoing planning—where comprehensive planning may include investment management without a separate engagement—and limited‑scope ongoing plans labeled “Emergent” and “Impact,” as well as hourly and project options. The adviser discloses an ongoing outside full‑time business activity that occupies a substantial portion of trading hours, uses both a mainstream custodian and a digital custodian/model marketplace, and executes client trades on an individual rather than aggregated (block) basis.
Client services
Financial planning
Portfolio management
Expertise
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Retirement income strategy
General tax planning
Fee options
Project-Based Financial Planning fees range from $500 to $5,000; Emergent and Impact services have fixed annual fees ($1,980 to $4,788)
$0 - $500,000: 1.00% $500,001 - $1,000,000: 0.85% $1,000,001 - $1,250,000: 0.75% $1,250,001 - $1,500,000: 0.70% $1,500,001 - $2,000,000: 0.65% $2,000,001+: 0.55%
$300 per hour, billed in 15 minute increments
Ongoing Comprehensive Financial Planning billed as a fixed monthly fee (annual fee $10,000 - $14,000 billed monthly in advance); Emergent and Impact services billed monthly in advance
Fee-only: Hourly Financial Planning at $300 per hour; Project-Based Financial Planning $500 - $5,000; Ongoing Comprehensive Financial Planning $10,000 - $14,000 per year; Emergent and Impact Services with annual fees ranging from $1,980 to $4,788
Main office location
Small Victories Wealth
San Jose CA, United States
Number of offices
1
Most active in
Small Victories Wealth has reported serving >5 clients in these states in the last 12 months.
California · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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