Valley Regional Capital Management LLC

Valley Regional Capital Management LLC is a state-registered independent advisory firm that provides portfolio management services to individual clients, including high-net-worth individuals, and prepares an Investment Policy Statement for each client to document goals, tax considerations, time horizon, and risk tolerance. As reported in the brochure (dated 1/17/2025), VRCM manages roughly $1.35 million in discretionary assets and currently lists a single client, and the firm states it imposes no account minimum.

The firm’s investment process draws on fundamental, technical, and quantitative analysis and uses long-term trading alongside options strategies (including covered, uncovered, and spread positions), with client risk tolerances documented in the IPS and accounts reviewed at least monthly. VRCM manages all client assets in-house rather than selecting third‑party advisers and provides standard custodial account reports to clients at least quarterly.

Distinctive aspects noted in the brochure are the firm’s small scale and client concentration — a solo adviser with one client and modest AUM — combined with the explicit use of higher‑risk options strategies (including uncovered options), a combination that is uncommon for firms of this size. The brochure also discloses that the adviser may receive broker‑provided research or other “soft‑dollar” benefits and requires clients to use a specific qualified custodian rather than accepting directed brokerage, which can affect execution and costs.