Regulatory & Structure

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Regulatory & Structure

Vallum Financial Group LLC (“Vallum”) is a privately operated investment-management firm organized as a limited liability company in the United States. The firm operates within a closed, non-public framework and conducts its activities pursuant to applicable federal and state exemptions from registration.

Registration Status

Vallum Financial Group LLC is not registered as an investment adviser with the U.S. Securities and Exchange Commission. The firm relies on exemptions available under the Investment Advisers Act of 1940, including Section 203(b)(3), as well as applicable state-level de minimis exemptions, where relevant.

Vallum does not hold itself out to the public as a registered investment adviser and maintains a limited number of advisory relationships consistent with the requirements of such exemptions.

Client Scope and Access

Vallum works exclusively with qualified clients and professional counterparties through pre-existing relationships. The firm does not engage in public solicitation, advertising, or general marketing of investment services.

Vallum does not accept retail investors and does not provide services to the general public.

Investment Structure

Vallum administers a rules-based protective indexing approach implemented through separately managed accounts. The firm does not offer pooled investment vehicles, mutual funds, hedge funds, or publicly distributed investment products.

Investment strategies are applied in a standardized manner and are not customized for individual retail investors.

Custody of Client Assets

Vallum does not take custody of client funds or securities.

Client assets are held at independent third-party custodians, including regulated U.S. broker-dealers such as Interactive Brokers LLC, in accounts owned directly by the client. Vallum does not maintain possession or control of client assets and does not hold client login credentials.

Compensation

Vallum is currently expected to derive revenue primarily from performance-based compensation paid by qualified clients, where permitted under applicable law and contractual arrangements.

Legal Disclosures

The information provided on this website is for informational purposes only and does not constitute an offer to sell, or a solicitation of an offer to buy, any security or investment product.

Investment services described herein are made available only through private, non-public channels and are subject to eligibility requirements and contractual arrangements.

Nothing on this website should be construed as investment advice, legal advice, or tax advice. Any investment decisions should be made based on individual circumstances and, where appropriate, in consultation with professional advisors.

Past performance, if referenced in private communications, is not indicative of future results. No guarantees of performance are made.

References to third-party custodians or service providers are provided for informational purposes only and do not imply endorsement, partnership, or affiliation.