# Valueworks, LLC

> Valueworks, LLC is an SEC-registered investment advisory firm in New York City, NY, registered since 2001, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 2, 2026.

- CRD: 116850
- Filed as: VALUEWORKS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York City, NY
- Filing period: October 2026
- Form ADV filing dated: April 2, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/116850
- AdvisorCensus page: https://advisorcensus.com/firm/valueworks-llc-new-york-city-ny-116850

## Quick answers

**How is Valueworks, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Valueworks, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is Valueworks, LLC located?**
Valueworks, LLC's principal office is in New York City, NY, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Valueworks, LLC registered with the SEC or a state?**
Valueworks, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 116850.

**How much does Valueworks, LLC manage?**
Valueworks, LLC reports $577,274,111 in regulatory assets under management in its Form ADV filing dated April 2, 2026 (100% discretionary).

**How have Valueworks, LLC's assets and staff changed since 2021?**
In the Form ADV data for Valueworks, LLC: Regulatory assets under management: $181,000,000 in the October 2021 data and $577,274,111 in the October 2026 data, up 219%. Total employees: 5 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Valueworks, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (44); high net worth individuals (33); charitable organizations (3).

**Which custodians does Valueworks, LLC use?**
Valueworks, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Pershing LLC and RBC Capital Markets, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Valueworks, LLC 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/116850

**What changed in Valueworks, LLC's recent Form ADV filings?**
In the May 2026 filing data: Regulatory assets under management went from $429,356,937 to $577,274,111 (+34%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing LLC
- RBC Capital Markets, LLC

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: $577,274,111
- Discretionary: $577,274,111
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 44 | $18,228,057 |
| High net worth individuals | 33 | $105,066,603 |
| 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 | $440,437,029 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 3 | $11,193,656 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 3 | $2,348,766 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2001 (24 years)
- Employees: 6 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, AZ, CA, FL, NJ, NY, PA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Lime, NH

### Websites listed on Form ADV (Item 1.I)
- valueworksllc.com
- LinkedIn @valueworks-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $181,000,000 | 5 | April 7, 2021 |
| October 2022 | $255,995,481 | 5 | April 1, 2022 |
| October 2023 | $293,259,887 | 6 | April 3, 2023 |
| October 2024 | $312,114,211 | 6 | April 2, 2024 |
| October 2025 | $429,356,937 | 6 | April 30, 2025 |
| October 2026 | $577,274,111 | 6 | April 2, 2026 |

Regulatory assets under management: $181,000,000 in the October 2021 data and $577,274,111 in the October 2026 data, up 219%.
Total employees: 5 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### May 2026
- Regulatory assets under management went from $429,356,937 to $577,274,111 (+34%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Valueworks, LLC (CRD 116850): Form ADV filing data as of October 2026.