Vaughan And Company Securities, Inc

CRD#18826
Investment Advisor Firm

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Learn more about Vaughan And Company Securities, Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Vaughan And Company Securities, Inc is a financial advisor firm that has its headquarters in Ridgewood, New Jersey. The company oversees $226.0 million in total assets across 479 customer accounts, making it a mid-tier financial advisory firm in the United States by assets under management (AUM). The firm has a small group, including 4 financial advisors. Vaughan And Company Securities, Inc is not a registered broker-dealer, meaning it is not able to buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer company to do so. Securities are defined as tradable financial assets such as bonds, options and stocks.

    Vaughan And Company Securities, Inc manages 468 of the firm's accounts in a discretionary manner. Discretionary management signifies that buy and sell decisions for the client's account are made by a portfolio manager without needing to seek the client's consent. The firm also manages 11 non-discretionary accounts totaling $26.0 million in assets. The advisory firm's average account size is $471,816. The typical advisor at Vaughan And Company Securities, Inc administers around 120 client accounts.

    The company's headquarters is located at 68 Passaic Street, Ridgewood, New Jersey 07450-9901. The firm is legally allowed to serve customers throughout a number of states, including Florida, Massachusetts, New Jersey, New York and Texas.

    Assets Under Management

    $226.0 million

    Number of Advisors

    4

    Disclosures

    No

    Office Location

    68 Passaic Street
    Ridgewood, NJ 07450-9901

    Vaughan And Company Securities, Inc by the Numbers

    Total Assets Under Management

    $226.0 million

    National Average: $8.6 billion
    Total Number of Employees

    6

    National Average: 64
    Total Number of Accounts

    479

    National Average: 375,227
    Average Account Size

    $471.8 thousand

    National Average: $23.0 thousand
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    Products and Services

    Vaughan And Company Securities, Inc provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and other services. In the prior financial year, the company provided 101-250 of its customers with financial planning services. Vaughan And Company Securities, Inc does sell products or offer services different than investment advisory services to its customers. Vaughan And Company Securities, Inc is affiliated with a number of other service providers in the financial services industry, including with an accountant or accounting firm, lawyer or law firm and pension consultant.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    A financial advisor's fees largely vary depending on the type of services provided. However, fee types billed by the firm can include some combination of the following fee types: asset-based, fixed, performance-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    The firm caters to retail investors, high net worth investors and pension plans. Out of its 479 accounts, Vaughan And Company Securities, Inc's biggest client group by number of accounts is high net worth investors, though it also serves 144 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are non-U.S. persons.

    • High-Net-Worth Individuals* - 70.24%
    • Other Individuals - 24.39%
    • Corporations - 5.37%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Vaughan And Company Securities, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Vaughan And Company Securities, Inc

    Tyler Kennedy
    Ridgewood, NJ
    James Vaughan
    Ridgewood, NJ
    Kevin Leeds
    Ridgewood, NJ

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