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

Valley Wealth, Inc.

Former SEC-registered adviserModesto, CaliforniaCRD 146324SEC 801-68866IAPD
Latest filing Mar 14, 2014
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$313M
reported, Item 5.F
Discretionary
96%
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$313M as of Mar 14, 2014
Mar 29, 2012$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 14, 2014
Feb 7, 20135 then
Employees (5.A)7 as of Mar 14, 2014
Feb 7, 20139 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Mar 14, 2014; every figure names its basis
RAUM per advisor
$52.2MderivedRAUM 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
$113,475derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, subscription, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
2,759reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Scott Jeffrey Burrow · President, Secretary & Chief Compliance Officercontrol
    since 02/2008 · owns 50% to 75%
  • Michael Jason Gordo · Ceo & Treasurercontrol
    since 02/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Valley Wealth, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,020 to 2,759
    Apr 22, 2013 to Mar 14, 2014
  • Advisory employees · 5 to 6
    Apr 22, 2013 to Mar 14, 2014
  • Employees · 9 to 7
    Apr 22, 2013 to Mar 14, 2014
  • Insurance-licensed employees · 0 to 2
    Apr 22, 2013 to Mar 14, 2014
  • State-registered IARs · 5 to 6
    Apr 22, 2013 to Mar 14, 2014
  • Discretionary RAUM · $195M to $300M
    Apr 22, 2013 to Mar 14, 2014
  • Non-discretionary RAUM · $85.0M to $13.0M
    Apr 22, 2013 to Mar 14, 2014
  • RAUM · $280M to $313M
    Apr 22, 2013 to Mar 14, 2014
  • Accounts · 975 to 1,020
    Mar 29, 2012 to Feb 7, 2013
  • Advisory employees · unset to 5.0
    Mar 29, 2012 to Feb 7, 2013
  • Employees · unset to 9.0
    Mar 29, 2012 to Feb 7, 2013
  • Insurance-licensed employees · 1 to 0
    Mar 29, 2012 to Feb 7, 2013
  • State-registered IARs · unset to 5.0
    Mar 29, 2012 to Feb 7, 2013
  • Discretionary RAUM · $165M to $195M
    Mar 29, 2012 to Feb 7, 2013
  • Non-discretionary RAUM · $95.0M to $85.0M
    Mar 29, 2012 to Feb 7, 2013
  • RAUM · $260M to $280M
    Mar 29, 2012 to Feb 7, 2013
  • Related adviser · true to false
    Mar 29, 2012 to Feb 7, 2013
  • Succession · true to false
    Mar 29, 2012 to Feb 7, 2013
Signals
1 dated events
  • Valley Wealth, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 29, 2012 · Succession (Item 4) · fact
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