Vaughan and Company Securities, Inc.
● SEC registered since 2020CRD 18826SEC# 801-118757Ridgewood, NJ
Reg. AUM
$218.9M
Employees
6
Accounts
544
Location
Ridgewood, NJ
Vaughan and Company Securities, Inc. assets under management
Vaughan and Company Securities, Inc. operates as an SEC-registered investment adviser based in Ridgewood, NJ. The firm has been registered since 2020. It reports $218.9 million in regulatory assets under management and employs 6 people.
Vaughan and Company Securities, Inc. owners & executives
4 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| James D. Vaughan Jr.grantor Trust Control | Shareholder | Over 75% | 1997 |
| James Daniel III Vaughan Control | Chief Compliance Officer | 10-25% | 2020 |
| James Daniel III Vaughan Control | Ceo, Cfo, President, Trustee | 10-25% | 1986 |
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Join to unlock · $37/moFrequently asked questions
How much does Vaughan and Company Securities, Inc. manage?
Vaughan and Company Securities, Inc. reports $218.9 million in regulatory assets under management on its Form ADV.
How many employees does Vaughan and Company Securities, Inc. have?
Vaughan and Company Securities, Inc. reports 6 employees.
Where is Vaughan and Company Securities, Inc. located?
Vaughan and Company Securities, Inc. is based in Ridgewood, NJ and has been SEC-registered since 2020.
Does Vaughan and Company Securities, Inc. disclose fund performance?
Vaughan and Company Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 68 Passaic Street, Ridgewood, NJ 07450-9901 |
| Phone | 201 444-1361 |
| Fax | 201-670-1352 |
| Office hours | 8:00 a.m. To 5:00 p.m. |
| SEC region | New York Regional Office (NYRO) |
| Discloses disciplinary history | Yes |
Regulatory AUM
$218.9M▼ 22%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 72%
Larger than 28% of 16,271 advisers
EmployeesTop 56%
More than 44% of 16,825 advisers
Assets under management
$218.9Mregulatory AUM
Discretionary $215.7MNon-discretionary $3.2M