Denver, CO Office

Vanguard Capital provides discretionary investment management and integrated financial planning primarily to individual and high-net-worth clients, typically establishing relationships with a stated account minimum and householding related accounts for fee and service purposes. The firm also offers consulting on estate planning, insurance, real estate and annuities, and provides rollover guidance for retirement plan assets.

The firm bases portfolio construction on written client profiles and investment plans, emphasizing diversification, risk management and intermediate-to-long-term holding periods (generally one to three years), with periodic rebalancing at least annually. Vanguard Capital may employ tactical tools — including automated stop-loss orders and covered-call writing for qualifying clients — and evaluates securities with a focus on company management, cashflow potential and sector positioning.

Noteworthy characteristics include a mid-sized advisory team (five advisors) managing roughly $190 million for about 199 clients and a practice that manages only discretionary assets while including financial planning within advisory services and offering standalone, hourly consulting for non-portfolio engagements. The firm discloses receipt of institutional services from its recommended custodian and reports a prior FINRA disciplinary matter involving a former associated person related to leveraged/inverse ETF suitability and disclosure issues.