← Tributary

VALLEY FINANCIAL MANAGEMENT, INC.

NEW YORK, NY · CRD 105387 · IAPD ↗ · 212-407-4362

$473,254Regulatory AUM
5Advisory reps
124Employees
0Clients
0Planning clients
0Private funds
9States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
March 2026 — VALLEY FINANCIAL MANAGEMENT, INC. notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
March 2025 — VALLEY FINANCIAL MANAGEMENT, INC. notice-filed in AL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
March 2025 — VALLEY FINANCIAL MANAGEMENT, INC. reported RAUM down 100% ($334.9M -> $55,000).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
March 2025 — VALLEY FINANCIAL MANAGEMENT, INC. shrank from 35 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.