VANGUARD CAPITAL
VANGUARD CAPITAL WEALTH ADVISORS, LLC Legal Name
Adviser information for VANGUARD CAPITAL last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 195 | $194.6M |
| Non-Discretionary | 0 | $0 |
| Total | 195 | $194.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 155 | $42.9M |
| HNW Individuals | 42 | $151.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Principal Office
999 18 ST SUITE 3000DENVER
CO
United States
Monday - Friday, 9AM - 4PM
Tel: 844-861-7504, Fax: 949-474-0495
Websites
Chief Compliance Officer
VINCENT POLIVKA
999 18 ST SUITE 3000
DENVER
CO
United States
Tel:
844-861-7504
V*******@*********M
(Full email address available in API data)
Regulatory Contact
JULIA YOUNGBLOOD
2030 MAIN STREET, 13TH FLOOR
IRVINE
CA
United States
Tel:
949-474-0490
J**********@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POLIVKA, VINCENT, MARK | Individual | – | MEMBER, CCO | 06/2016 | 25-50% |
| BORCICH, JOHN, DEREK | Individual | – | MEMBER | 06/2016 | 25-50% |
| YOUNGBLOOD, JULIA, CLARE | Individual | – | MEMBER | 06/2016 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 746K | 4K | – |
| ABRDN PLATINUM ETF TRUST | PHYSCL PLATM SHS | 367K | 4K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 283K | 34K | – |
| ABRDN WORLD HEALTHCARE FUND | BEN INT SHS | 394K | 30K | – |
| AC IMMUNE SA | SHS | 56K | 14K | – |
| ADAM NAT RES FD INC | COM | 201K | 9K | – |
| ADVANCED MICRO DEVICES INC | COM | 409K | 3K | – |
| ADVENT CONV & INCOME FD | COM | 240K | 20K | – |
| ADVISORSHARES TR | RANGER EQUITY BE | 2M | 75K | – |
| ALLIANCEBERNSTEIN GLOBAL HIG | COM | 524K | 50K | – |
| ALPHABET INC | CAP STK CL A | 909K | 5K | – |
| ALPHABET INC | CAP STK CL C | 7M | 40K | – |
| AMAZON COM INC | COM | 12M | 63K | – |
| AMERICAN INTL GROUP INC | COM NEW | 302K | 4K | – |
| AMPHENOL CORP NEW | CL A | 431K | 6K | – |
| APPLE INC | COM | 13M | 60K | – |
| APPLIED MATLS INC | COM | 1M | 5K | – |
| AT&T INC | COM | 219K | 11K | – |
| BAIDU INC | SPON ADR REP A | 576K | 7K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 281K | 235 | – |
| BANK AMERICA CORP | COM | 2M | 61K | – |
| BARCLAYS BANK PLC | IPTH SR B S&P | 1M | 119K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 807K | 2K | – |
| BIOGEN INC | COM | 533K | 2K | – |
| BLACKROCK ENERGY & RES TR | COM | 132K | 10K | – |
| BLACKROCK RES & COMMODITIES | SHS | 176K | 19K | – |
| BLACKSTONE INC | COM | 493K | 4K | – |
| BOEING CO | COM | 2M | 9K | – |
| BOOKING HOLDINGS INC | COM | 1M | 334 | – |
| BP PLC | SPONSORED ADR | 202K | 6K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 311K | 8K | – |
| BROADCOM INC | COM | 4M | 3K | – |
| CATERPILLAR INC | COM | 1M | 3K | – |
| CEMEX SAB DE CV | SPON ADR NEW | 136K | 21K | – |
| CHEVRON CORP NEW | COM | 549K | 4K | – |
| CISCO SYS INC | COM | 1M | 22K | – |
| CITIGROUP INC | COM NEW | 450K | 7K | – |
| COHEN & STEERS QUALITY INCOM | COM | 280K | 24K | – |
| COINBASE GLOBAL INC | COM CL A | 411K | 2K | – |
| CONOCOPHILLIPS | COM | 598K | 5K | – |
| COSTCO WHSL CORP NEW | COM | 976K | 1K | – |
| CROWDSTRIKE HLDGS INC | CL A | 460K | 1K | – |
| DECKERS OUTDOOR CORP | COM | 774K | 800 | – |
| DELL TECHNOLOGIES INC | CL C | 238K | 2K | – |
| DISNEY WALT CO | COM | 347K | 3K | – |
| DYNAGAS LNG PARTNERS LP | COM UNIT LTD PT | 98K | 24K | – |
| EATON VANCE CALIF MUN BD FD | COM | 190K | 20K | – |
| EBAY INC. | COM | 464K | 9K | – |
| ELEVANCE HEALTH INC | COM | 1M | 2K | – |
| ELI LILLY & CO | COM | 512K | 565 | – |
| EOG RES INC | COM | 222K | 2K | – |
| EXXON MOBIL CORP | COM | 1M | 10K | – |
| FIRST TR EXCHANGE TRAD FD VI | FST TR GLB FD | 884K | 37K | – |
| FREEPORT-MCMORAN INC | CL B | 433K | 9K | – |
| GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 567K | 140K | – |
| GOLDMAN SACHS GROUP INC | COM | 247K | 546 | – |
| GRAB HOLDINGS LIMITED | *W EXP 99/99/999 | 15K | 91K | – |
| GRAB HOLDINGS LIMITED | CLASS A ORD | 435K | 123K | – |
| GRANITESHARES PLATINUM TR | SHS BEN INT | 147K | 15K | – |
| GRUPO TELEVISA S A B | SPON ADR REP ORD | 64K | 23K | – |
| HANCOCK JOHN PFD INCOME FD I | COM | 204K | 12K | – |
| HOME DEPOT INC | COM | 460K | 1K | – |
| HONEYWELL INTL INC | COM | 297K | 1K | – |
| INTEL CORP | COM | 1M | 45K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 327K | 2K | – |
| INVESCO ACTVELY MNGD ETC FD | OPTIMUM YIELD | 853K | 61K | – |
| INVESCO CALIF VALUE MUN INCO | COM | 208K | 20K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL ENR | 286K | 4K | – |
| INVESCO QQQ TR | UNIT SER 1 | 343K | 715 | – |
| ISHARES GOLD TR | ISHARES NEW | 3M | 67K | – |
| ISHARES SILVER TR | ISHARES | 937K | 35K | – |
| ISHARES TR | 7-10 YR TRSY BD | 488K | 5K | – |
| ISHARES U S ETF TR | GSCI CMDTY STGY | 899K | 33K | – |
| IVEDA SOLUTIONS INC | COM NEW | 5K | 10K | – |
| JPMORGAN CHASE & CO. | COM | 679K | 3K | – |
| KINDER MORGAN INC DEL | COM | 666K | 34K | – |
| KKR INCOME OPPORTUNITIES FD | COM | 480K | 35K | – |
| MARATHON OIL CORP | COM | 311K | 11K | – |
| MARATHON PETE CORP | COM | 711K | 4K | – |
| MASTERCARD INCORPORATED | CL A | 5M | 11K | – |
| MCDONALDS CORP | COM | 840K | 3K | – |
| MERCADOLIBRE INC | COM | 657K | 400 | – |
| MERCK & CO INC | COM | 286K | 2K | – |
| META PLATFORMS INC | CL A | 5M | 9K | – |
| MEXICO FD INC | COM | 166K | 10K | – |
| MGM RESORTS INTERNATIONAL | COM | 562K | 13K | – |
| MICRON TECHNOLOGY INC | COM | 4M | 31K | – |
| MICROSOFT CORP | COM | 4M | 8K | – |
| MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADS | 113K | 10K | – |
| MIZUHO FINANCIAL GROUP INC | SPONSORED ADR | 417K | 98K | – |
| MOBIX LABS INC | *W EXP 99/99/999 | 3K | 20K | – |
| MOBIX LABS INC | COM CL A | 208K | 127K | – |
| MORGAN STANLEY | COM NEW | 2M | 16K | – |
| MOSAIC CO NEW | COM | 211K | 7K | – |
| NAUTILUS BIOTECHNOLOGY INC | COM | 82K | 35K | – |
| NETFLIX INC | COM | 1M | 2K | – |
| NEW YORK CMNTY BANCORP INC | COM | 34K | 11K | – |
| NOMURA HLDGS INC | SPONSORED ADR | 293K | 51K | – |
| NOVARTIS AG | SPONSORED ADR | 230K | 2K | – |
| NVIDIA CORPORATION | COM | 11M | 88K | – |
| ON HLDG AG | NAMEN AKT A | 726K | 19K | – |
| ORACLE CORP | COM | 1M | 8K | – |
| PACIFIC PREMIER BANCORP | COM | 345K | 15K | – |
| PALO ALTO NETWORKS INC | COM | 203K | 600 | – |
| PAYPAL HLDGS INC | COM | 531K | 9K | – |
| PFIZER INC | COM | 365K | 13K | – |
| PHILIP MORRIS INTL INC | COM | 538K | 5K | – |
| PHILLIPS 66 | COM | 818K | 6K | – |
| PIMCO INCOME STRATEGY FD II | COM | 215K | 30K | – |
| PROCTER AND GAMBLE CO | COM | 735K | 4K | – |
| PROSPECT CAP CORP | COM | 112K | 20K | – |
| QUALCOMM INC | COM | 1M | 6K | – |
| ROYAL CARIBBEAN GROUP | COM | 327K | 2K | – |
| SAFE BULKERS INC | COM | 71K | 12K | – |
| SALESFORCE INC | COM | 322K | 1K | – |
| SAMSARA INC | COM CL A | 543K | 16K | – |
| SAREPTA THERAPEUTICS INC | COM | 393K | 2K | – |
| SCHLUMBERGER LTD | COM STK | 463K | 10K | – |
| SCHWAB CHARLES CORP | COM | 586K | 8K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US B | 229K | 3K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 362K | 5K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 398K | 5K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 357K | 6K | – |
| SHOPIFY INC | CL A | 469K | 7K | – |
| SPDR GOLD TR | GOLD SHS | 631K | 3K | – |
| SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 618K | 46K | – |
| TEMPLETON EMERGING MKTS INCO | COM | 63K | 12K | – |
| TESLA INC | COM | 4M | 20K | – |
| TILRAY BRANDS INC | COM | 34K | 21K | – |
| TRANSOCEAN LTD | REGISTERED SHS | 235K | 44K | – |
| UBER TECHNOLOGIES INC | COM | 814K | 11K | – |
| UNITED PARCEL SERVICE INC | CL B | 390K | 3K | – |
| UNITED RENTALS INC | COM | 4M | 5K | – |
| UNITEDHEALTH GROUP INC | COM | 7M | 14K | – |
| URANIUM ENERGY CORP | COM | 84K | 14K | – |
| VALERO ENERGY CORP | COM | 706K | 5K | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 386K | 11K | – |
| VERITONE INC | COM | 68K | 30K | – |
| VERIZON COMMUNICATIONS INC | COM | 558K | 14K | – |
| VERTEX PHARMACEUTICALS INC | COM | 394K | 840 | – |
| VIRTUS DIVIDEND INTEREST & P | COM | 146K | 12K | – |
| VISA INC | COM CL A | 238K | 905 | – |