This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

VALLEY FINANCIAL MANAGEMENT, INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

2

Registered states

1

Exams

S66|S63

First exam

Nov 30, 2018

First registration

Feb 24, 2023

Dual registered

yes, broker-dealer

Other names

Carlos M Batista|Carlos M Gutierrez|Carlos Gutierrez|CARLOS MIGUEL BATISTA GUTIERREZ|Carlos BATISTA|CARLOS MIGUEL GUTIERREZ|Carlos Miguel Batista|Carlos BatistaGutierrez

IAPD individual key

7030199

• Occurred

  May 26, 2026
  Advisor changed firm

  Carlos Miguel Batista Gutierrez left Neuberger Berman Bd Llc for Valley Wealth Managers, Inc. (registered 2026-06-11)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:addd6157-23f4-ca90-d241-a910167ddee5

First observed

Feb 24, 2023

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.