Data / Investment advisers / New Jersey / Vaughan and Company Securities, Inc.
Vaughan and Company Securities, Inc., Ridgewood, NJ: $219 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Vaughan and Company Securities, Inc. is an SEC registered investment adviser with its main office in Ridgewood, New Jersey and reports $219 million in regulatory assets under management in its Form ADV filed May 6, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, fixed fees and performance based fees.
The request: Watch Vaughan and Company Securities, Inc. (CRD number 18826): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 18826
- SEC file number
- 801-118757
- SEC status
- Approved, effective May 15, 2020
- Main office
- 68 Passaic Street, Ridgewood, NJ 07450
- Phone
- (201) 444-1361
- Regulatory AUM
- $218,871,800 in the Form ADV filed May 6, 2026
- Discretionary AUM
- $215,688,600
- Non discretionary AUM
- $3,183,200
- Accounts
- 544
- Employees
- 6, of which 4 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees, performance based fees, other fees
- Form ADV Item 11 disclosures
- Reported: other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- May 6, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 60 | $179.4 million |
| Individuals (other than high net worth individuals) | 130 | $39.1 million |
| Corporations or other businesses | 1 | $203,800 |
| Pension and profit sharing plans | 2 | $162,700 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $218.9 million | February 24, 2026 |
| December 1, 2025 | $280 million | February 18, 2025 |
Other advisers in New Jersey
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Paradigm Investment Advisory, LLC | Bridgewater | $425.1 million | Not listed | adviserinfo.sec.gov |
| Sindia Capital Advisers, LLC | Somers Point | $423.4 million | Not listed | adviserinfo.sec.gov |
| Giverny Capital Advisors | Princeton | $420.9 million | Not listed | adviserinfo.sec.gov |
| Ridgewood Investments | Springfield | $419.2 million | 7 | adviserinfo.sec.gov |
| Onex Credit Advisor, LLC | Englewood Cliffs | $417.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New Jersey
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Vaughan and Company Securities, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.