{
  "crd_number": 281049,
  "slug": "wallace-advisory-group-llc-lafayette-ca-281049",
  "primary_business_name": "WALLACE ADVISORY GROUP, LLC",
  "legal_name": "WALLACE ADVISORY GROUP, LLC",
  "dbas": [
    "WALLACE FINANCIAL INSURANCE SERVICES"
  ],
  "city": "Lafayette",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41860",
  "metro": {
    "cbsa_code": "41860",
    "common_name": "San Francisco",
    "msa_name": "San Francisco-Oakland-Fremont, CA",
    "path": "/advisors/ca/san-francisco"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-10-01",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-01-27",
  "carried_forward": false,
  "raum_total": 269452314.0,
  "raum_discretionary": 269452314.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 109206946.0,
      "count": 52
    },
    "high_net_worth_individuals": {
      "raum": 160245368.0,
      "count": 35
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "HI",
    "NV",
    "TX"
  ],
  "websites": [
    "https://linkedin.com/company/wallace-advisory-group?trk=public_profile_topcard-current-company",
    "https://wallaceadvisory.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/281049",
  "city_as_filed": "LAFAYETTE",
  "url": "https://advisorcensus.com/firm/wallace-advisory-group-llc-lafayette-ca-281049",
  "display_name": "Wallace Advisory Group, LLC",
  "summary": "Wallace Advisory Group, LLC is an SEC-registered investment advisory firm in Lafayette, CA, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 27, 2026.",
  "citation": "AdvisorCensus. Wallace Advisory Group, LLC (CRD 281049): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Wallace Advisory Group, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Wallace Advisory Group, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Wallace Advisory Group, LLC located?",
      "a": "Wallace Advisory Group, LLC's principal office is in Lafayette, CA, according to its Form ADV."
    },
    {
      "q": "Is Wallace Advisory Group, LLC registered with the SEC or a state?",
      "a": "Wallace Advisory Group, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 281049."
    },
    {
      "q": "How much does Wallace Advisory Group, LLC manage?",
      "a": "Wallace Advisory Group, LLC reports $269,452,314 in regulatory assets under management in its Form ADV filing dated January 27, 2026 (100% discretionary)."
    },
    {
      "q": "How have Wallace Advisory Group, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Wallace Advisory Group, LLC: Regulatory assets under management: $180,951,900 in the October 2021 data and $269,452,314 in the October 2026 data, up 49%. Total employees: 5 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Wallace Advisory Group, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (52); high net worth individuals (35)."
    },
    {
      "q": "Which custodians does Wallace Advisory Group, LLC use?",
      "a": "Wallace Advisory Group, LLC's 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."
    },
    {
      "q": "Does Wallace Advisory Group, LLC report any disciplinary disclosures?",
      "a": "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/281049"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 180951900.0,
      "total_employees": 5,
      "filing_date": "2021-03-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 235000000.0,
      "total_employees": 4,
      "filing_date": "2022-02-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 220543550.0,
      "total_employees": 4,
      "filing_date": "2023-01-12"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 225000000.0,
      "total_employees": 2,
      "filing_date": "2024-01-24"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 250000000.0,
      "total_employees": 2,
      "filing_date": "2025-03-10"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 269452314.0,
      "total_employees": 4,
      "filing_date": "2026-01-27"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/wallace-advisory-group-llc-lafayette-ca-281049.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 52,
      "fewer_than_5": false,
      "raum": 109206946.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 35,
      "fewer_than_5": false,
      "raum": 160245368.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/281049",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}