Vaughn Investment Advisors Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$45,000,000
Clients
22
Advisors
2
of 2 employees
About
Vaughn Investment Advisors provides fee-only portfolio management and investment advice to a small number of individual and institutional clients, including retirement accounts, trusts, profit-sharing plans, and corporations. The firm advises across equities, corporate and government debt, municipal securities, exchange-traded products, and options.
The firm’s investment process is team-based, with regular meetings multiple times per week that begin with a top-down macroeconomic and market assessment followed by bottom-up selection using fundamental, technical, and charting analysis. Portfolios are tailored to client goals and risk tolerances, emphasize diversification (including the use of ETFs/ETNs), and seek to limit turnover to manage tax consequences.
Noteworthy aspects include a relatively small client roster combined with substantial assets under management, which indicates a concentrated, high-touch client focus and long continuity from an earlier advisory business dating back decades. The firm requires clients to custody assets with a single qualified custodian, discloses use of custodial research and services (and the related potential conflicts), aggregates block trades across sub-accounts to equalize execution, and operates without accepting third‑party commissions.
Client services
Expertise
Fee options
1% annually, charged as 0.25% per quarter on the closing balance
Account minimum: $500,000 Fee-only: Fee only investment advisory firm; no commissions or other compensation accepted
Main office
17621 Irvine Blvd, Suite 104
Tustin CA 92780
Advisors at this office
2
Most active in
California
Also doing business as
Vaughn Enterprises · Vaughn Investment Advisors Inc · Vaughn, Robert Donald
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Michael V
Series 65
Tustin, CA
Vaughn Investment Advisors Inc
Michael Vaughn is a Series 65-licensed financial advisor with Vaughn Investment Advisors Inc. in Tustin, CA, where he has worked since 2007. He has 12 years of industry experience. Vaughn Investment Advisors Inc. is a fee-only registered investment adviser managing approximately $74.85 million in assets. The firm serves individuals, retirement accounts, trusts, pensions, profit-sharing plans, and corporations, using a team-based investment process that combines top-down macro analysis with bottom-up security selection and emphasizes diversification through ETFs and ETNs.
Robert V
Series 63
Tustin, CA
Vaughn Investment Advisors Inc
Robert Vaughn Jr. is a financial advisor at Vaughn Investment Advisors Inc. with 13 years of industry experience. He holds a Series 63 designation and has been with the firm since 2005. Vaughn Investment Advisors Inc. is a fee-only registered investment adviser managing approximately $74.85 million in assets for individuals, retirement accounts, trusts, pensions, profit-sharing plans, and corporations. The firm employs a team-based investment process combining top-down macro analysis with bottom-up security selection, using fundamental, technical, and charting methods to tailor portfolios to client goals and risk tolerances.
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