Valley Brook Capital Group, Inc.
- Regulatory AUM
- $223M
- Discretionary
- $202M
- Clients
- 204
- Avg AUM / client
- $1.1M
- Accounts
- 368
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 28, 2026
Investments (13F portfolio — 112 positions, $149,157,922)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $10,889,705 | 42,908 | 7.3% | 4.88% |
| 2 | Microsoft Corp | COM | $9,333,820 | 25,215 | 6.26% | 4.18% |
| 3 | Jpmorgan Chase & Co | COM | $5,445,960 | 18,514 | 3.65% | 2.44% |
| 4 | Caterpillar Inc | COM | $5,377,843 | 7,591 | 3.61% | 2.41% |
| 5 | Nvidia Corporation | COM | $5,230,510 | 29,991 | 3.51% | 2.34% |
| 6 | Abbvie Inc | COM | $4,994,300 | 22,963 | 3.35% | 2.24% |
| 7 | Broadcom Inc | COM | $4,976,329 | 16,078 | 3.34% | 2.23% |
| 8 | Home Depot Inc | COM | $4,490,383 | 13,653 | 3.01% | 2.01% |
| 9 | Rtx Corporation | COM | $3,849,860 | 19,958 | 2.58% | 1.72% |
| 10 | Amazon Com Inc | COM | $3,665,760 | 17,601 | 2.46% | 1.64% |
| 11 | Walmart Inc | COM | $3,389,867 | 27,276 | 2.27% | 1.52% |
| 12 | Union Pac Corp | COM | $3,306,023 | 13,626 | 2.22% | 1.48% |
| 13 | Alphabet Inc | CAP STK CL C | $3,151,721 | 10,987 | 2.11% | 1.41% |
| 14 | Costco Wholesale Corporation | COM | $3,018,703 | 3,030 | 2.02% | 1.35% |
| 15 | Deere & Co | COM | $2,925,474 | 5,193 | 1.96% | 1.31% |
| 16 | Johnson & Johnson | COM | $2,681,996 | 10,972 | 1.8% | 1.2% |
| 17 | Exxon Mobil Corp | COM | $2,371,985 | 13,981 | 1.59% | 1.06% |
| 18 | Visa Inc | COM CL A | $2,315,170 | 7,660 | 1.55% | 1.04% |
| 19 | Pnc Finl Svcs Group Inc | COM | $2,153,745 | 10,350 | 1.44% | 0.96% |
| 20 | Mcdonalds Corp | COM | $2,111,818 | 6,795 | 1.42% | 0.95% |
| 21 | Tjx Cos Inc New | COM | $2,067,578 | 12,947 | 1.39% | 0.93% |
| 22 | Ge Aerospace | COM NEW | $2,013,925 | 7,097 | 1.35% | 0.9% |
| 23 | Alphabet Inc | CAP STK CL A | $1,792,414 | 6,233 | 1.2% | 0.8% |
| 24 | Meta Platforms Inc | CL A | $1,705,527 | 2,981 | 1.14% | 0.76% |
| 25 | Berkshire Hathaway Inc Del | CL B NEW | $1,640,302 | 3,423 | 1.1% | 0.73% |
Top 25 of 112 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 137 | $29.3M | 13.1% |
| High net worth individuals | 59 | $159M | 71.2% |
| Pension and profit sharing plans | 3 | $21.4M | 9.59% |
| Corporations and other businesses | 5 | $13.6M | 6.08% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| H. A. P. Enterprises, Inc. 401(k) Plan H. A. P. Enterprises, Inc. | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gregory Jon Martik | Principal | CFP | Nov 2004 (22y) | 25% – 50% |
| Jayme Alan Russo | Principal | Dec 2004 (22y) | 25% – 50% | |
| Robert Michael Pulit | Principal/Chief Compliance Officer | Mar 2007 (19y) | 25% – 50% | |
| Benjamin Louis Martik | Associate | CFA | Jan 2017 (10y) | 5% – 10% |
| Daniel William Yeager | Registered representative | Oct 2018 (8y) | ||
| Richard John Tice | Registered representative | Oct 2018 (8y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| H. A. P. Enterprises, Inc. 401(k) Plan | H. A. P. Enterprises, Inc. | 130 | $5.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/28/2026 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $201M (90% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 28, 2026.
View current Form ADV (SEC/IAPD) ↗