Investment adviser · CRD 18826
VAUGHAN AND COMPANY SECURITIES, INC.
Investment adviser filing (IA)
RIDGEWOOD, NJ, United States · Form ADV filed May 6, 2026
- Regulatory AUM
- $219M Form ADV · Item 5.F
- Client accounts
- 544 Accounts, not individual clients
- Employees
- 6 Reported in this filing
- Advisory professionals
- 4 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 60 | $179,373,384 | 82.0% |
| Individuals | 130 | $39,131,916 | 17.9% |
| Corporations & businesses | Fewer than 5 | $203,800 | 0.1% |
| Retirement plans | Fewer than 5 | $162,700 | 0.1% |
Filing source
Form ADV 2102861 · May 6, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: May 6, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Pension consulting · Selection of other advisers
Compensation
Percentage of assets · Fixed · Performance-based
Principal office
68 PASSAIC STREETRIDGEWOOD, NJ, 07450-9901, United States
CRD 18826
Filing source
Form ADV 2102861 · May 6, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.