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VAUGHAN AND COMPANY SECURITIES, INC.
CRD 18826File 801-118757
APPROVED
Retail clients
Disclosure events
Filing as of May 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$218.9M
Below cohort median (national)
Discretionary AUM
$215.7M
Non-discretionary $3.2M
Clients
193
544 accounts
Employees
6
Below cohort median in NJ
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- May 15, 2020
- Principal office
- 68 PASSAIC STREET, RIDGEWOOD, NJ, 07450-9901
- Phone
- 201 444-1361
- Website
- https://vaughanandco.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $218.9M
- Discretionary AUM
- $215.7M
- Non-discretionary AUM
- $3.2M
- Discretionary accounts
- 532
- Non-discretionary accounts
- 12
- Total accounts
- 544
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $204K |
| High net worth individuals | 60 | $179.4M |
| Pension and profit sharing plans | Fewer than 5 | $163K |
| Individuals (other than high net worth individuals) | 130 | $39.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — SELECTION OF TPMM
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jun 1, 2026 | Employees | 7 | 6 | decreased by1 |
| Mar 1, 2026 | Clients | 210 | 193 | decreased by17 |
| Mar 1, 2026 | AUM | $280,000,000 | $218,871,800 | decreased by$61,128,200 |
| Mar 1, 2026 | Accounts | 458 | 544 | increased by86 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 7 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 130 | 210 | increased by80 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $275,000,000 | $280,000,000 | increased by$5,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 477 | 458 | decreased by19 |
| Feb 1, 2022 | Clients | 122 | 130 | increased by8 |
| Feb 1, 2022 | AUM | $228,000,000 | $275,000,000 | increased by$47,000,000 |
| Feb 1, 2022 | Accounts | 450 | 477 | increased by27 |
| 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 “VAUGHAN COMPANY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“VAUGHAN COMPANY” 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.