Vaughan Investment Advisors, Llc
- Regulatory AUM
- $14.0M
- Discretionary
- $14.0M
- Clients
- 21
- Avg AUM / client
- $667K
- Accounts
- 28
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 18 | $6.0M | 42.9% |
| High net worth individuals | 3 | $8.0M | 57.1% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Liberty High School EIN 810862160 | Dayton, OH | 06/30/2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Martin Vaughan | Registered representative | Chartered Financial Consultant | Mar 2010 (16y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Liberty High School | Public charity | $6.9M | 06/30/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Interactive Brokers $11.5M (82% of AUM) Mar 2026
- Transamerica Financial Advisors, Inc $2.5M (18% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗