DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
V•••••• A•• C•••••• S••••••••• I•••
Latest filing May 6, 2026
First filing on the tape Apr 17, 2020 · 33 filings
SEC status approved since May 15, 2020
RAUM
$219M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$219M as of May 6, 2026
Mar 9, 2021$228M then
HNW client RAUM$179M as of May 6, 2026
Mar 9, 2021$150M then
State-registered IARs (5.B.3)4 as of May 6, 2026
Mar 9, 20212 then
Employees (5.A)6 as of May 6, 2026
Mar 9, 20218 then
Private funds: no history
RAUM -22% over the last fiscal year-1.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $402,338derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.0%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$179M82%
- Individuals$39.1M18%
- Corporations and businesses$203,8000.1%
- Pension and profit-sharing plans$162,7000.1%
- Individual clients
- 130reported
- HNW clients
- 60reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 544reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D••••• V••••••Certified Financial Planner | Ridgewood, Nj | Jan 5, 2022 | 41 y | 0 |
| T•••• G••••• K•••••• | Ridgewood, Nj | Mar 27, 2024 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- K•••• A•••• L•••• to V••••• R•••••••••May 6, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• J•••• D••••• I•• · Ceo, Cfo, President, Trusteecontrolsince 10/1986 · owns 10% to 25%
- V••••••• J••••• D••••• · Vice Presidentcontrolsince 10/1986 · owns less than 5%
Entity owners
- J•••• D• V•••••• J••••••••• T•••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•••• A• L••••• C••insurancen
- P•••••• A••••••••• I•••LP sponsory
- V•••••• A•• C•••••• S••••••••• I•••investment adviseryRAUM $219M
Advisers that list V•••••• A•• C•••••• S••••••••• I••• as a related person
- 18826 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ridgewood, Nj · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 20, 2026discretionary share of RAUM moved from 64.0% to 99.0% between the annual amendments of 2025-02-18 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 20, 2026HNW share of RAUM moved from 64.0% to 82.0% between the annual amendments of 2025-02-18 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Apr 20, 2026 to May 6, 2026
- Employees · 7 to 6Apr 20, 2026 to May 6, 2026
- State-registered IARs · 5 to 4Apr 20, 2026 to May 6, 2026
- Accounts · 458 to 544Feb 18, 2025 to Feb 24, 2026
- Corporate clients · 0 to 1Feb 18, 2025 to Feb 24, 2026
- Individual clients · 140 to 130Feb 18, 2025 to Feb 24, 2026
- Pension plan clients · 10 to 2Feb 18, 2025 to Feb 24, 2026
- Discretionary RAUM · $180M to $216MFeb 18, 2025 to Feb 24, 2026
- HNW RAUM · $180M to $179MFeb 18, 2025 to Feb 24, 2026
- Individual RAUM · $70.0M to $39.1MFeb 18, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $100M to $3.2MFeb 18, 2025 to Feb 24, 2026
- Pension RAUM · $30.0M to $162,700Feb 18, 2025 to Feb 24, 2026
- RAUM · $280M to $219MFeb 18, 2025 to Feb 24, 2026
- Accounts · 440 to 458Apr 2, 2024 to Feb 18, 2025
- HNW clients · 58 to 60Apr 2, 2024 to Feb 18, 2025
- Individual clients · 131 to 140Apr 2, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Apr 2, 2024 to Feb 18, 2025
- Discretionary RAUM · $230M to $180MApr 2, 2024 to Feb 18, 2025
- HNW RAUM · $170M to $180MApr 2, 2024 to Feb 18, 2025
- Individual RAUM · $60.0M to $70.0MApr 2, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $20.0M to $100MApr 2, 2024 to Feb 18, 2025
- Pension RAUM · $20.0M to $30.0MApr 2, 2024 to Feb 18, 2025
- RAUM · $250M to $280MApr 2, 2024 to Feb 18, 2025
- Advisory employees · 4 to 5Mar 6, 2024 to Apr 2, 2024
- Employees · 6 to 7Mar 6, 2024 to Apr 2, 2024
- State-registered IARs · 4 to 5Mar 6, 2024 to Apr 2, 2024
- Advisory employees · 3 to 4Jan 26, 2024 to Mar 6, 2024
- Employees · 5 to 6Jan 26, 2024 to Mar 6, 2024
- State-registered IARs · 3 to 4Jan 26, 2024 to Mar 6, 2024
- Accounts · 489 to 440Jan 23, 2024 to Jan 24, 2024
- Individual clients · 133 to 131Jan 23, 2024 to Jan 24, 2024
- HNW RAUM · $155M to $170MJan 23, 2024 to Jan 24, 2024
- Individual RAUM · $65.0M to $60.0MJan 23, 2024 to Jan 24, 2024
- Pension RAUM · $30.0M to $20.0MJan 23, 2024 to Jan 24, 2024
- Accounts · 479 to 489May 24, 2023 to Jan 23, 2024
- HNW clients · 144 to 58May 24, 2023 to Jan 23, 2024
- Individual clients · 50 to 133May 24, 2023 to Jan 23, 2024
- Pension plan clients · 11 to 10May 24, 2023 to Jan 23, 2024
- Discretionary RAUM · $200M to $230MMay 24, 2023 to Jan 23, 2024
- HNW RAUM · $44.0M to $155MMay 24, 2023 to Jan 23, 2024
Signals
2 dated events
- K•••• A•••• L•••• left V•••••• A•• C•••••• S••••••••• I••• for V••••• R••••••••• (registered 2026-04-23)May 6, 2026 · Advisor changed firm · fact
- V•••••• A•• C•••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Apr 17, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- jdviii@vaughanandco.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 201-444-1361reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/vaughan-&-co-securities-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- vaughanandco.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201 444-1361reportedpublic record, Form ADV, May 6, 2026
- Contact form
- vaughanandco.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026