{"url":"https://nivawealth.com/firms/wealthvalues-140004","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/140004","regulatoryAum":466520722,"crd":"140004","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4369844","suffix":null,"lastName":"GOODFRIEND","firstName":"KAREN","middleName":"RAE"},{"crd":"6883472","suffix":null,"lastName":"Goodfriend","firstName":"Samuel","middleName":"Lewis"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-16","regulatoryAum":391406928,"clients":21,"employees":4,"offices":1},{"filedOn":"2022-05-09","regulatoryAum":420755858,"clients":31,"employees":5,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":337451486,"clients":30,"employees":6,"offices":1},{"filedOn":"2024-05-28","regulatoryAum":378525462,"clients":28,"employees":5,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":410565365,"clients":24,"employees":5,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":466520722,"clients":25,"employees":5,"offices":1}],"secFileNumber":"801-66449","legalName":"Wealthvalues, LLC","displayName":"Wealthvalues","slug":"wealthvalues-140004","website":"https://wealthvalues.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"303 Twin Dolphin DR., Suite 600","city":"Redwood City","state":"CA","stateName":"California","country":"United States","postalCode":"94065"},"tradeNames":[],"registration":{"secApproved":"21 March 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":5,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":466520722,"discretionary":466520722,"discretionaryAccounts":151,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":null,"fewerThan5":true,"regulatoryAum":3748736},{"label":"High-net-worth individuals","clients":25,"regulatoryAum":462771986}],"feePrograms":[{"role":"main","program":"Percentage of assets under management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031578","versionId":1031578,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"WEALTHVALUES, LLC - FORM ADV PART 2 BROCHURE","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning is a fixed fee of not less than $5,000, with updates at not less than $2,000; generally negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031578","versionId":1031578,"submittedOn":"2026-03-30","documentName":"WEALTHVALUES, LLC - FORM ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:09:12.532142+00:00","documents":[{"name":"WEALTHVALUES, LLC - FORM ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031578","versionId":1031578,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"SEI Private Trust Company","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":387395845},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":79124877}],"custodyNote":"Wealthvalues does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Karen Goodfriend","title":"Managing Member and Chief Compliance Officer","crd":"4369844"}],"ownership":[{"label":"Karen Goodfriend","detail":"Managing member and chief compliance officer in the 75% or more ownership band and a control person, since March 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"303 Twin Dolphin DR., Suite 600","city":"Redwood City","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-941-5530","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":47},{"label":"U.S. state and local bonds","percent":13},{"label":"Securities issued by registered investment companies or business development companies","percent":34},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/140004/PDF/140004.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031578","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wealthvalues have?","answer":"Wealthvalues has 25 clients and manages $467 million for them, as of March 2026. They include 25 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wealthvalues offer?","answer":"Wealthvalues provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Wealthvalues charge?","answer":"Wealthvalues charges 0.25%–1.00% for its Percentage of assets under management. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.","source":"WEALTHVALUES, LLC - FORM ADV PART 2 BROCHURE, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Wealthvalues use?","answer":"Wealthvalues’ separately managed account assets are held at SEI Private Trust Company (Oaks, PA), with $387M and Charles Schwab & Co., Inc. (Westlake, TX), with $79.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wealthvalues have?","answer":"Wealthvalues has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Wealthvalues invest in?","answer":"At the end of its last fiscal year, Wealthvalues’ separately managed accounts held 47% exchange-traded equities, 34% registered funds (mutual funds, ETFs, BDCs), 13% state and local bonds and 6% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Wealthvalues?","answer":"Wealthvalues’ direct owner is Karen Goodfriend (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wealthvalues get paid?","answer":"Wealthvalues is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Wealthvalues?","answer":"Wealthvalues’ main office is at 303 Twin Dolphin DR., Suite 600, Redwood City, CA 94065. Its phone number is 650-941-5530. Its website is wealthvalues.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}