VAUGHAN AND COMPANY SECURITIES, INC.

RIASEC RegisteredEst. 2020

Total AUM

$219M

Discretionary

$216M

99% of AUM

Avg account

$402K

Accounts

544

Employees

Advisory reps

Firm details

Headquarters: RIDGEWOOD, New Jersey
CRD number: 18826
Registered since: May 15, 2020
Website: vaughanandco.com
Custodians: FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Fixed Fees, Performance Based Fees, Other
Client types: HNWI81.95%
Individuals17.88%
Corporations / Businesses0.09%
Pension & Profit Sharing Plans0.07%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Vaughan And Company Securities, Inc. is an independent, SEC-registered investment adviser that began registration in 2020 and operates as a capital allocator for both individual/family and institutional clients. Ownership is a mix of a domestic entity and an individual. The firm provides advisory services including financial planning, portfolio management for individuals and small businesses, selection of other advisers, and pension consulting services; it is also engaged in other financial product sales. Fee arrangements include percentage-of-AUM, fixed fees, performance-based fees and other structures. The firm does not identify as an active ESG investor and is not classified as a multi-state adviser. Vaughan And Company reports affiliations with other investment advisers, accountants, law firms and pension consultants, reflecting a networked approach to client service and external advice. It is designated as a corporation and lists business activity beyond pure investment management.