{ "crd_number": 341357, "slug": "vanguard-alternative-assets-adviser-llc-malvern-pa-341357", "primary_business_name": "VANGUARD ALTERNATIVE ASSETS ADVISER, LLC", "legal_name": "VANGUARD ALTERNATIVE ASSETS ADVISER, LLC", "dbas": [], "city": "Malvern", "state": "PA", "country": "United States", "cbsa_code": "37980", "metro": { "cbsa_code": "37980", "common_name": "Philadelphia", "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD", "path": "/advisors/pa/philadelphia" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-04-22", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-09-18", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 47, "advisory_employees": 25, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 6, "states_registered": [], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/341357", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.H(1)(c)", "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?" } ], "city_as_filed": "MALVERN", "url": "https://advisorcensus.com/firm/vanguard-alternative-assets-adviser-llc-malvern-pa-341357", "display_name": "Vanguard Alternative Assets Adviser, LLC", "summary": "Vanguard Alternative Assets Adviser, LLC is an SEC-registered investment advisory firm in Malvern, PA, registered since 2026, with no regulatory assets under management reported in its Form ADV filing dated September 18, 2026.", "citation": "AdvisorCensus. Vanguard Alternative Assets Adviser, LLC (CRD 341357): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Vanguard Alternative Assets Adviser, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Vanguard Alternative Assets Adviser, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Vanguard Alternative Assets Adviser, LLC located?", "a": "Vanguard Alternative Assets Adviser, LLC's principal office is in Malvern, PA, according to its Form ADV." }, { "q": "Is Vanguard Alternative Assets Adviser, LLC registered with the SEC or a state?", "a": "Vanguard Alternative Assets Adviser, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 341357." }, { "q": "Does Vanguard Alternative Assets Adviser, LLC report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.H(1)(c) (regulator's civil action dismissed under a settlement). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/341357" }, { "q": "What changed in Vanguard Alternative Assets Adviser, LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/vanguard-alternative-assets-adviser-llc-malvern-pa-341357.md", "clients": [], "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/341357", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }