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.

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SEC-registered adviser

V••••• W••••• M•••••••••

Independent wealth managerOshkosh, WisconsinCRD 327845SEC 801-135905websiteIAPD
Legal name V••••• W••••• M••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Apr 30, 2026 · 1 filings
SEC status approved since May 5, 2026
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$109M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $112M
HNW client RAUM: $35.8M
State-registered IARs (5.B.3): 1
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
345derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$217,413derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$73.6M66%
  • High-net-worth individuals$35.8M32%
  • Corporations and businesses$2.2M1.9%
Individual clients
326reported
HNW clients
19reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
513reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••••• M•••••• M•••••••••Oshkosh, WiOct 5, 202312 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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.
    How to reach
    public business contact points only, each with its source
    Business email
    info@v•••••wealth.netreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    amber@v•••••wealth.netreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    jenny@v•••••wealth.netreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    920-966-9520reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/valley-wealthreportedpublic record, Form ADV, Sep 18, 2026
    Website
    valleywealth.netreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    920-966-9520reportedpublic record, Form ADV, Apr 30, 2026
    Contact form
    valleywealth.net/contactreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    valleywealth.net/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $112Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026