DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Valentine Capital Asset Management, Inc.

Former SEC-registered adviserDanville, CaliforniaCRD 140861SEC 801-67070IAPD
Latest filing Apr 30, 2015
First filing on the tape Mar 28, 2012 · 15 filings
RAUM
$367M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$367M as of Mar 31, 2015
Mar 28, 2012$361M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Apr 11, 20135 then
Employees (5.A)4 as of Mar 31, 2015
Apr 11, 201311 then
Private funds1 as of Apr 11, 2013
Mar 28, 20121 then
RAUM -35% over the last fiscal year+0.5% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Apr 30, 2015; every figure names its basis
RAUM per advisor
$367MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%derivedbetween the last two annual amendments
Advisor growth, one year
-80%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
291reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Valt LPno longer reportedOther Private Fund$22.3M159Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Carpo Reynold Samoranos · Chief Compliance Officercontrol
      since 02/2012 · owns less than 5%
    • Leo John Valentine · Principal/Presidentcontrol
      since 03/2006 · owns 25% to 50%
    • J Whitney Valentine · Ownercontrol
      since 08/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Pt. Richmond, CA
    What changed
    consecutive filings, newest first
    • Accounts · 410 to 291
      Nov 5, 2014 to Mar 31, 2015
    • Advisory employees · 5 to 1
      Nov 5, 2014 to Mar 31, 2015
    • BD registered reps · 2 to 0
      Nov 5, 2014 to Mar 31, 2015
    • Employees · 12 to 4
      Nov 5, 2014 to Mar 31, 2015
    • State-registered IARs · 5 to 1
      Nov 5, 2014 to Mar 31, 2015
    • Discretionary RAUM · $562M to $367M
      Nov 5, 2014 to Mar 31, 2015
    • RAUM · $562M to $367M
      Nov 5, 2014 to Mar 31, 2015
    • Related adviser · true to false
      Nov 5, 2014 to Mar 31, 2015
    • Related broker-dealer · true to false
      Nov 5, 2014 to Mar 31, 2015
    • Accounts · 866 to 410
      Mar 31, 2014 to Apr 2, 2014
    • Related bank · true to false
      Mar 31, 2014 to Apr 2, 2014
    • Accounts · 330 to 866
      Dec 12, 2013 to Mar 31, 2014
    • Advisory activities · 6 to 5
      Dec 12, 2013 to Mar 31, 2014
    • BD registered reps · 0 to 2
      Dec 12, 2013 to Mar 31, 2014
    • Employees · 11 to 12
      Dec 12, 2013 to Mar 31, 2014
    • Private funds · 1 to unset
      Dec 12, 2013 to Mar 31, 2014
    • Discretionary RAUM · $417M to $562M
      Dec 12, 2013 to Mar 31, 2014
    • RAUM · $417M to $562M
      Dec 12, 2013 to Mar 31, 2014
    • HQ city · PLEASANTON to DANVILLE
      Nov 25, 2013 to Dec 12, 2013
    • HQ city · SAN RAMON to PLEASANTON
      Apr 29, 2013 to Nov 25, 2013
    • Accounts · 479 to 330
      May 21, 2012 to Apr 11, 2013
    • Advisory employees · unset to 5.0
      May 21, 2012 to Apr 11, 2013
    • BD registered reps · unset to 0.0
      May 21, 2012 to Apr 11, 2013
    • Employees · unset to 11.0
      May 21, 2012 to Apr 11, 2013
    • State-registered IARs · unset to 5.0
      May 21, 2012 to Apr 11, 2013
    • Discretionary RAUM · $481M to $417M
      May 21, 2012 to Apr 11, 2013
    • RAUM · $481M to $417M
      May 21, 2012 to Apr 11, 2013
    • Related broker-dealer · false to true
      May 21, 2012 to Apr 11, 2013
    • Discretionary RAUM · $361M to $481M
      Mar 28, 2012 to May 21, 2012
    • RAUM · $361M to $481M
      Mar 28, 2012 to May 21, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026