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DAVID VAUGHAN INVESTMENTS, LLC
CRD 105990File 801-12642
APPROVED
Retail clients
Custody
Filing as of Jul 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$5.33B
Top 25% of cohort (national)
Discretionary AUM
$5.33B
Non-discretionary $1.5M
Clients
1,240
4,288 accounts
Employees
48
Top 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Mar 17, 1977
- Principal office
- 5823 N FOREST PARK DRIVE, PEORIA, IL, 61614-3559
- Phone
- 309-685-0033
- Website
- HTTPS://WWW.DVIINC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.33B
- Discretionary AUM
- $5.33B
- Non-discretionary AUM
- $1.5M
- Discretionary accounts
- 4,283
- Non-discretionary accounts
- 5
- Total accounts
- 4,288
- AUM per client
- $4.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $45.8M |
| Insurance companies | Fewer than 5 | $150.9M |
| Charitable organizations | 24 | $348.1M |
| High net worth individuals | 721 | $3.70B |
| Banking or thrift institutions | Fewer than 5 | $561.0M |
| Pension and profit sharing plans | 40 | $318.3M |
| Individuals (other than high net worth individuals) | 443 | $210.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 46 | 48 | increased by2 |
| Apr 1, 2026 | Clients | 1,550 | 1,240 | decreased by310 |
| Apr 1, 2026 | AUM | $4,930,082,357 | $5,331,382,823 | increased by$401,300,466 |
| Apr 1, 2026 | Accounts | 4,020 | 4,288 | increased by268 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 38 | 46 | increased by8 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,286 | 1,550 | increased by264 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,942,149,414 | $4,930,082,357 | increased by$987,932,943 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,226 | 4,020 | increased by794 |
| Apr 1, 2022 | Employees | 35 | 38 | increased by3 |
| Apr 1, 2022 | Clients | 1,109 | 1,286 | increased by177 |
| Apr 1, 2022 | AUM | $3,217,482,536 | $3,942,149,414 | increased by$724,666,878 |
| Apr 1, 2022 | Accounts | 2,823 | 3,226 | increased by403 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DAVID VAUGHAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DAVID VAUGHAN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.