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Vaughan and Company Securities, Inc.

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Client assets under management

$218,505,300

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Clients

190

32% high-net-worth

Advisors

2

of 7 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

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Clients per advisor

95

High

Average account size

$1,150,028

About

Vaughan & Co. Securities, Inc. provides discretionary investment advisory services primarily to individual and high‑net‑worth clients, and to pension, profit‑sharing and 401(k) plan sponsors. Its service offerings include individual portfolio management, financial planning, retirement plan consulting, held‑away account management, and acting as a solicitor to refer clients to third‑party investment managers.

Portfolios are managed in accordance with clients’ stated objectives and written investment policy statements, with analysis that includes fundamental, quantitative and cyclical methods, periodic reviews and rebalancing. The firm also uses third‑party managers when appropriate and offers held‑away oversight via a third‑party aggregation platform to review and rebalance employer‑sponsored retirement accounts.

Distinctive features disclosed in the firm’s brochure include the availability of performance‑based fee arrangements for qualified clients and formal solicitor and fee‑sharing relationships with other registered advisers. Vaughan & Co. is affiliated with a retirement plan administration entity (Pension Administrators, Inc.), notes that a firm principal is a licensed attorney who does not provide legal services to advisory clients, and discloses a prior NASD disciplinary action involving supervisory deficiencies.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers Consulting services

Expertise

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Cash flow / budgeting

Occupation focus

Founder/Business Owner Retired

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Fee options

Fixed

$1,500 to $2,500 for Financial Planning and Consulting Services, fixed fee basis

Percentage

$0 - $500,000: 1.50% Over $500,000 - $1,000,000: 1.40% Over $1,000,000 - $2,000,000: 1.30% Over $2,000,000 - $3,500,000: 1.20% Over $3,500,000 - $5,000,000: 1.10% Over $5,000,000 - $7,500,000: 1.00% Over $7,500,000 - $10,000,000: 0.80% Over $10,000,000 - $15,000,000: 0.60% Over $15,000,000 - $20,000,000: 0.40% Over $20,000,000 - $30,000,000: 0.30% Over $30,000,000 - $40,000,000: 0.25% Over $40,000,000 - $50,000,000: 0.20% Over $50,000,000 - Negotiable:

Performance-based

10% of investment gains on Dividend Growth Program with conditions; performance-based fees require clients to have either $1,000,000 under management or net worth of $2,100,000

Other

Account minimum: $1,000,000

Main office location

Vaughan and Company Securities, Inc.

68 Passaic Street

Ridgewood NJ 07450-9901, United States

Number of offices

1

Most active in

More info

Florida · Massachusetts · New Jersey · New York · Texas

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Facebook Website 201 444-1361

Advisors at this firm

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Tyler K

Series 65

Ridgewood, NJ

Vaughan and Company Securities, Inc.

Tyler Kennedy is a financial advisor at Vaughan and Company Securities, Inc. with four years of industry experience. He holds a Series 65 designation and has worked at Vaughan and Company Securities in various capacities since 2019, with a brief tenure at Betterment in 2023-2024. Prior to his advisory career, he held positions in the retail and hospitality sectors. Vaughan and Company Securities, Inc. provides investment advisory and financial planning services to individuals, pension and profit-sharing plans, and businesses. The firm manages approximately $280 million in assets using a combination of fundamental, cyclical, and quantitative analysis, with an emphasis on asset allocation and both long- and short-term strategies.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Cash flow / budgeting Founder/Business Owner Retired
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James V

CFP®, Series 63, Series 65

Ridgewood, NJ

Vaughan and Company Securities, Inc.

James Vaughan III is a CFP® professional with 40 years of experience in the financial services industry. He has been with Vaughan and Company Securities, Inc. since 1986 and also served on the faculty of Fairleigh Dickinson University for 14 years. In addition to his advisory role, he oversees the day-to-day operations of Officer Pension Administrators Inc., a retirement plan administration firm. Vaughan is also an attorney-at-law. Vaughan and Company Securities, Inc. provides investment advisory and financial planning services to individuals, pension and profit-sharing plans, and businesses, managing both discretionary and non-discretionary assets. The firm employs a diversified investment approach incorporating fundamental, cyclical, and quantitative analysis, and offers services including portfolio management, pension consulting, and 529 education account management.

Concentrated stock management Retirement plans for business owners (SEP, solo 401k) General estate planning guidance Cash flow / budgeting Founder/Business Owner Retired
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