Valley Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$109,382,222
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
345
6% high-net-worth
Advisors
1
of 3 employees
Firm type
Supported
1-4 advisors or >$200M in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
345
Very HighAverage account size
$317,050
About
Valley Wealth Management provides ongoing portfolio management and investment advisory services to individuals, high‑net‑worth clients, and business entities, documenting each client’s goals and risk tolerance in an Investment Policy Statement and typically managing accounts on a discretionary basis. The firm also offers access to LPL Financial–sponsored advisory programs (including an Optimum Market Portfolios option) and generally focuses its recommendations on mutual funds, ETFs, fixed income, real estate funds, and insurance products.
Investment decisions are guided by modern portfolio theory and implemented primarily through long‑term trading, with portfolios monitored and rebalanced according to documented risk profiles. The firm commonly uses ETFs and mutual funds as core vehicles and may employ margin transactions and treasury inflation‑protected bonds, each of which carries additional leverage and market risks that are disclosed to clients.
Valley Wealth Management operates with an unusually high client load per advisor—managing several hundred client relationships—which is atypical among peers and can influence service and execution practices. The firm recently transitioned to SEC registration, requires custody with LPL Financial and participates in LPL‑sponsored programs (where advisory fees are shared), discloses affiliated broker‑dealer and insurance activities that create potential conflicts of interest, and does not aggregate block trades across client accounts.
Client services
Portfolio management
Selection of other advisers
Expertise
Wealth management
Annuities
Real estate investing
Fee options
up to 1.50% annually
Registered representative accepts commissions from sale of investment products to clients; commissions are not VWM's primary compensation.
Main office location
Valley Wealth Management
509 S Washburn St
Oshkosh WI 54904, United States
Number of offices
1
Most active in
Valley Wealth Management has reported serving >5 clients in these states in the last 12 months.
Wisconsin
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.
-
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.
-
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.
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