{
  "crd_number": 18826,
  "slug": "vaughan-and-company-securities-inc-ridgewood-nj-18826",
  "primary_business_name": "VAUGHAN AND COMPANY SECURITIES, INC.",
  "legal_name": "VAUGHAN AND COMPANY SECURITIES, INC.",
  "dbas": [],
  "city": "Ridgewood",
  "state": "NJ",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-05-15",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-05-06",
  "carried_forward": false,
  "raum_total": 218871800.0,
  "raum_discretionary": 215688600.0,
  "raum_non_discretionary": 3183200.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 39131916.0,
      "count": 130
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 162700.0,
      "count": 2,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 179373384.0,
      "count": 60
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 203800.0,
      "count": 1,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "FL",
    "MA",
    "NJ",
    "NY",
    "TX"
  ],
  "websites": [
    "https://facebook.com/VaughanandCo",
    "https://linkedin.com/company/vaughan-&-co-securities-inc",
    "https://vaughanandco.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/18826",
  "disclosure_items": [
    {
      "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(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "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.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "RIDGEWOOD",
  "url": "https://advisorcensus.com/firm/vaughan-and-company-securities-inc-ridgewood-nj-18826",
  "display_name": "Vaughan and Company Securities, Inc.",
  "summary": "Vaughan and Company Securities, Inc. is an SEC-registered investment advisory firm in Ridgewood, NJ, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 6, 2026.",
  "citation": "AdvisorCensus. Vaughan and Company Securities, Inc. (CRD 18826): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Vaughan and Company Securities, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Vaughan and Company Securities, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Vaughan and Company Securities, Inc. located?",
      "a": "Vaughan and Company Securities, Inc.'s principal office is in Ridgewood, NJ, according to its Form ADV."
    },
    {
      "q": "Is Vaughan and Company Securities, Inc. registered with the SEC or a state?",
      "a": "Vaughan and Company Securities, Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 18826."
    },
    {
      "q": "How much does Vaughan and Company Securities, Inc. manage?",
      "a": "Vaughan and Company Securities, Inc. reports $218,871,800 in regulatory assets under management in its Form ADV filing dated May 6, 2026 (99% discretionary)."
    },
    {
      "q": "How have Vaughan and Company Securities, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Vaughan and Company Securities, Inc.: Regulatory assets under management: $228,000,000 in the October 2021 data and $218,871,800 in the October 2026 data, down 4%. Total employees: 8 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Vaughan and Company Securities, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (130); high net worth individuals (60); pension and profit sharing plans (but not the plan participants or government pension plans) (2)."
    },
    {
      "q": "Which custodians does Vaughan and Company Securities, Inc. use?",
      "a": "Vaughan and Company Securities, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Vaughan and Company Securities, Inc. report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/18826"
    },
    {
      "q": "What changed in Vaughan and Company Securities, Inc.'s recent Form ADV filings?",
      "a": "In the June 2026 filing data: Employees performing advisory functions went from 5 to 4."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 228000000.0,
      "total_employees": 8,
      "filing_date": "2021-08-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 275000000.0,
      "total_employees": 8,
      "filing_date": "2022-09-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 226000000.0,
      "total_employees": 5,
      "filing_date": "2023-05-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 250000000.0,
      "total_employees": 7,
      "filing_date": "2024-04-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 280000000.0,
      "total_employees": 7,
      "filing_date": "2025-02-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 218871800.0,
      "total_employees": 6,
      "filing_date": "2026-05-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Employees performing advisory functions went from 5 to 4."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $280,000,000 to $218,871,800 (-22%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/vaughan-and-company-securities-inc-ridgewood-nj-18826.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 130,
      "fewer_than_5": false,
      "raum": 39131916.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 60,
      "fewer_than_5": false,
      "raum": 179373384.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 162700.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 203800.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 5 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/18826",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}