# VALLEY FINANCIAL MANAGEMENT, INC.

VALLEY FINANCIAL MANAGEMENT, INC. of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 105387
- Type: SEC-registered investment adviser
- SEC file number: 801-113685
- Location: 350 MADISON AVE., COMPLIANCE 4TH FLOOR, NEW YORK, NY, 10017
- Phone: 212-407-4362
- Latest filing: 2026-02-05
- Regulatory AUM: $473K
- Discretionary AUM: $473K
- Clients: 124
- Accounts: 129

## Business model

- Compensation: % of AUM
- Clients served: High net worth

## Officers, owners & control persons (27)

_Showing 25 of 27 people._

| Name | Role | Location |
| --- | --- | --- |
| Wilson Michael | CHIEF COMPLIANCE OFFICER | Vancouver, A1 |
| Jamie Mayo | CHIEF FINANCIAL OFFICER | Short Hills, NJ |
| Christopher Michael Wilson | CHIEF COMPLIANCE OFFICER | — |
| Joel Vanovitch | CHIEF OPERATIONS OFFICER | — |
| Joseph Arthur Iii Colleran | PRESIDENT / CEO | — |
| Travis Lan | DIRECTOR | — |
| Christopher Jon Gawley | GENERAL COUNSEL | — |
| Melissa Joseph Schultz | CHAIRPERSON | — |
| SCHULTZ MELISSA JOSEPH | CHAIRPERSON | — |
| HAGEDORN MICHAEL DENNIS | DIRECTOR | — |
| JOHNSTON CHARLES DEAN | DIRECTOR | — |
| BERNSTEIN IAN NESSIM | PRESIDENT / CEO; PRINCIPAL | — |
| MENDELSON AVNER | DIRECTOR | — |
| JAWITZ SIMON BRUCE | DIRECTOR | — |
| CONCANNON SEAN PATRICK | CFO; FIN/OP, CFO | — |
| FRIEDMAN HANAN SHMOEL | DIRECTOR | — |
| SHERMAN -ANDREW LOUIS ESQ | GENERAL COUNSEL, CORPORATE SECRETARY | — |
| BOYAN GEORGE ALLEN III | PRESIDENT / CEO | — |
| VANOVITCH JOEL | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER & CHIEF FINANCIAL OFFICER | — |
| AGASSI RONEN | DIRECTOR | — |
| DAVIES JAMES ROBERT | CHIEF FINANCIAL OFFICER | — |
| COLLERAN JOSEPH ARTHUR III | PRESIDENT / CEO | — |
| BEN-ZVI BOSMAT HANA | DIRECTOR | — |
| GAWLEY CHRISTOPHER JON | GENERAL COUNSEL | — |
| LAN TRAVIS | DIRECTOR | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-09-21 | regulatory | LISI PROVIDED INCOMPLETE INFORMATION ON ITS RENEWAL APPLICATION FOR ACCIDENT AND HEALTH/VARIABLE LIFE AND VARIABLE ANNUITIES LICENSE SUBMITTED ON OR ABOUT MARCH 7, 2017; AND LISI PROVIDED INCOMPLETE INFORMATION ON ITS ORIGINAL APPLICATION FOR A PROPERTY AND CASUALTY LICENSE ON OR ABOUT AUGUST 10, 20… | Final | $2K |
| 2015-09-11 | regulatory | ON NOVEMBER 3, 2016, FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ACCEPTED LISI'S LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") UNDER WHICH LISI AGREED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO PAY A $15,000 FINE FOR FAILING TO REPORT THE CORRECT TIME OF TRADE EXECUTION IN TRACE-ELIG… | Final | $15K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105387/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105387/similar
- Related entities: https://search.stillhousedata.com/firm/105387/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105387

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.