# David Vaughan Investments, LLC

> David Vaughan Investments, LLC is an SEC-registered investment advisory firm in Peoria, IL, registered since 1977, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 20, 2026.

- CRD: 105990
- Filed as: DAVID VAUGHAN INVESTMENTS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Peoria, IL
- Filing period: October 2026
- Form ADV filing dated: July 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105990
- AdvisorCensus page: https://advisorcensus.com/firm/david-vaughan-investments-llc-peoria-il-105990

## Quick answers

**How is David Vaughan Investments, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), David Vaughan Investments, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is David Vaughan Investments, LLC located?**
David Vaughan Investments, LLC's principal office is in Peoria, IL, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is David Vaughan Investments, LLC registered with the SEC or a state?**
David Vaughan Investments, LLC is an SEC-registered investment advisory firm, registered since 1977. Status as filed: Approved. CRD 105990.

**How much does David Vaughan Investments, LLC manage?**
David Vaughan Investments, LLC reports $5,331,382,823 in regulatory assets under management in its Form ADV filing dated July 20, 2026 (100% discretionary).

**How have David Vaughan Investments, LLC's assets and staff changed since 2021?**
In the Form ADV data for David Vaughan Investments, LLC: Regulatory assets under management: $3,217,482,536 in the October 2021 data and $5,331,382,823 in the October 2026 data, up 66%. Total employees: 35 in October 2021 and 48 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does David Vaughan Investments, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (721); individuals (other than high net worth individuals) (443); pension and profit sharing plans (but not the plan participants or government pension plans) (40).

**Which custodians does David Vaughan Investments, LLC use?**
David Vaughan Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does David Vaughan Investments, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105990

**What changed in David Vaughan Investments, LLC's recent Form ADV filings?**
In the August 2026 filing data: Registered or notice-filed in KS.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $5,331,382,823
- Discretionary: $5,329,836,830
- Non-discretionary: $1,545,993

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 443 | $210,699,999 |
| High net worth individuals | 721 | $3,696,637,932 |
| Banking or thrift institutions | Fewer than 5 | $560,982,208 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 40 | $318,323,370 |
| Charitable organizations | 24 | $348,053,771 |
| Insurance companies | Fewer than 5 | $150,915,911 |
| Corporations or other businesses not listed above | 12 | $45,769,632 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 1977 (49 years)
- Employees: 48 total, 48 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, GA, IL, IN, KS, LA, MA, MD, MI, MN, MO, NC, NE, NH, NY, OH, PA, SC, TN, TX, VA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Winter Park, FL

### Websites listed on Form ADV (Item 1.I)
- dviinc.com
- LinkedIn @david-vaughan-investments

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $3,217,482,536 | 35 | August 19, 2021 |
| October 2022 | $3,942,149,414 | 38 | September 20, 2022 |
| October 2023 | $3,937,269,240 | 41 | March 31, 2023 |
| October 2024 | $4,298,493,004 | 44 | March 28, 2024 |
| October 2025 | $4,930,082,357 | 46 | April 10, 2025 |
| October 2026 | $5,331,382,823 | 48 | July 20, 2026 |

Regulatory assets under management: $3,217,482,536 in the October 2021 data and $5,331,382,823 in the October 2026 data, up 66%.
Total employees: 35 in October 2021 and 48 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Registered or notice-filed in KS.

### April 2026
- Employees performing advisory functions went from 46 to 48.
- Updated its list of owners and control persons (Schedule A).

### December 2025
- Registered or notice-filed in MD, SC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. David Vaughan Investments, LLC (CRD 105990): Form ADV filing data as of October 2026.