# Pine Valley Investments

> Pine Valley Investments is an SEC-registered investment advisory firm in Marlton, NJ, registered since 2015, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 173995
- Filed as: PINE VALLEY INVESTMENTS
- Legal name: Pine Valley Investments Limited Liability Company
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Marlton, NJ
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/173995
- AdvisorCensus page: https://advisorcensus.com/firm/pine-valley-investments-marlton-nj-173995

## Quick answers

**How is Pine Valley Investments compensated?**
On its Form ADV (Item 5.E, October 2026), Pine Valley Investments reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Pine Valley Investments located?**
Pine Valley Investments' principal office is in Marlton, NJ, according to its Form ADV.

**Is Pine Valley Investments registered with the SEC or a state?**
Pine Valley Investments is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 173995.

**How much does Pine Valley Investments manage?**
Pine Valley Investments reports $2,674,263,421 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Pine Valley Investments' assets and staff changed since 2021?**
In the Form ADV data for Pine Valley Investments: Regulatory assets under management: $1,040,908,102 in the October 2021 data and $2,674,263,421 in the October 2026 data, up 157%. Total employees: 21 in October 2021 and 37 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Pine Valley Investments serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,464); high net worth individuals (606); charitable organizations (25).

**Which custodians does Pine Valley Investments use?**
Pine Valley Investments' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Pine Valley Investments report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/173995

**What changed in Pine Valley Investments' recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 30 to 31. Regulatory assets under management went from $2,183,420,313 to $2,674,263,421 (+22%). Registered or notice-filed in DC. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $2,674,263,421
- Discretionary: $2,674,263,421
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,464 | $388,321,041 |
| High net worth individuals | 606 | $1,907,926,125 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $124,035,780 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 16 | $28,760,858 |
| Charitable organizations | 25 | $40,075,942 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | Fewer than 5 | $185,143,675 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2015 (11 years)
- Employees: 37 total, 31 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, MD, MI, NC, NH, NJ, NY, OH, PA, SC, TN, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [pinevalleyinvestments.com](https://pinevalleyinvestments.com)
- Facebook @PINEVALLEYINVESTMENTS
- Instagram @PV_INVESTMENTS
- LinkedIn @pine-valley-investments-llc
- X @PV_INVESTMENTS

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,040,908,102 | 21 | July 9, 2021 |
| October 2022 | $1,324,317,155 | 21 | September 13, 2022 |
| October 2023 | $964,600,915 | 27 | March 31, 2023 |
| October 2024 | $1,742,507,212 | 35 | March 28, 2024 |
| October 2025 | $2,183,420,313 | 37 | March 19, 2025 |
| October 2026 | $2,674,263,421 | 37 | March 30, 2026 |

Regulatory assets under management: $1,040,908,102 in the October 2021 data and $2,674,263,421 in the October 2026 data, up 157%.
Total employees: 21 in October 2021 and 37 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 30 to 31.
- Regulatory assets under management went from $2,183,420,313 to $2,674,263,421 (+22%).
- Registered or notice-filed in DC.
- Updated its list of owners and control persons (Schedule A).

### January 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pine Valley Investments (CRD 173995): Form ADV filing data as of October 2026.