DAVID VAUGHAN INVESTMENTS, LLC
Adviser information for DAVID VAUGHAN INVESTMENTS, LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 44 |
|---|---|
| Investment Advisory/Research | 44 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 20 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,778 | $4.3B |
| Non-Discretionary | 0 | $0 |
| Total | 3,778 | $4.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 660 | $318.7M |
| HNW Individuals | 717 | $3.1B |
| 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 | 50 | $311.7M |
| Charitable organizations | 22 | $277.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $196.8M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 26 | $67.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)TAX QUALIFIED AND TAFT-HARTLEY PENSION PLAN CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
5823 N FOREST PARK DRIVEPEORIA
IL
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 309-685-0033, Fax: 309-685-3665
Chief Compliance Officer
MICHAEL A PRICE
VICE PRESIDENT, RISK MANAGEMENT
5823 N FOREST PARK DRIVE
PEORIA
IL
United States
Tel:
309-685-0033
Fax:
309-685-3665
M*****@*********M
(Full email address available in API data)
Industry Affiliates
| HOMETOWN COMMUNITY BANCCORP, INC. | Banking or thrift institution |
| MORTON COMMUNITY BANK | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILLIAMS IV, LAWRENCE | Individual | – | ELECTED MANAGER, CHAIRMAN, PRESIDENT & CEO | 12/2017 | < 5% |
| VAUGHAN JR, DAVID, JOHN | Individual | – | ELECTED MANAGER | 09/2006 | < 5% |
| MCCLURE, JOHN, VANNORDEN | Individual | – | ELECTED MANAGER | 01/2008 | < 5% |
| CHRISTENSEN, BRIAN, ANDREW | Individual | – | ELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICER | 09/2006 | < 5% |
| SMARJESSE, PATRICK, JOSEPH | Individual | – | SENIOR VICE PRESIDENT | 09/2006 | < 5% |
| SHERIDAN, TODD, MICHAEL | Individual | – | VICE PRESIDENT | 09/2006 | < 5% |
| PILLMAN, VIRGINIA, JOHNSON | Individual | – | ELECTED MANAGER | 06/2011 | < 5% |
| BAUM, WAYNE, E | Individual | – | ELECTED MANAGER | 06/2012 | < 5% |
| PRICE, MICHAEL, ALLEN | Individual | – | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARY | 07/2014 | < 5% |
| DEWALT, MICHAEL, L | Individual | – | ELECTED MANAGER | 04/2016 | < 5% |
| DVI CAPITAL CORP. | Domestic Entity | – | MEMBER | 07/2017 | 10-25% |
| HOMETOWN COMMUNITY BANCORP, INC. | Domestic Entity | – | MEMBER | 09/2017 | > 75% |
| HONEGGER, ANDREW, ALAN | Individual | – | ELECTED MANAGER | 09/2017 | < 5% |
| HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUST | Domestic Entity | HOMETOWN COMMUNITY BANCORP, INC. | OWNER | 12/1999 | 25-50% |
| SCHOEPLEIN, KEVIN, D | Individual | – | ELECTED MANAGER | 03/2018 | < 5% |
| HINRICHS, STEPHEN, KENT | Individual | – | VICE PRESIDENT OF INVESTMENT RESEARCH | 03/2018 | < 5% |
| SALMON, ELIZABETH, W | Individual | – | VICE PRESIDENT OF OPERATIONS | 06/2017 | < 5% |
| AUTRY, DARRIN, ATTIS | Individual | – | ELECTED MANAGER | 03/2021 | < 5% |
| RISI, ALFREDO, ARMANDO | Individual | – | CHIEF OPERATING OFFICER | 10/2023 | < 5% |
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 |
|---|---|---|---|---|
| APPLE INC | aapl | 7K | 32K | – |
| ABBVIE INC | abbv | 61K | 356K | – |
| ABBOTT LABORATORIES | abt | 44K | 427K | – |
| ACCENTURE PLC-CL A | acn | 39K | 130K | – |
| AUTOMATIC DATA PROCESSING | adp | 6K | 23K | – |
| AMEREN CORPORATION | aee | 490 | 7K | – |
| AMERICAN ELECTRIC POWER | aep | 41K | 472K | – |
| AFLAC INC | afl | 495 | 6K | – |
| AMERICAN INTERNATIONAL GRP | aig | 36K | 490K | – |
| ALAMO GROUP INC | alg | 260 | 2K | – |
| ALLSTATE CORP | all | 44K | 273K | – |
| APPLIED MATERIALS INC | amat | 566 | 2K | – |
| AMGEN INC | amgn | 55K | 176K | – |
| ALTUS POWER INC | amps | 55 | 14K | – |
| AMERICAN WELL CORP-CLASS A | amwl | 3 | 10K | – |
| AMAZON.COM INC | amzn | 920 | 5K | – |
| VANECK VECTORS FALLEN ANGEL HIGH YI | angl | 293 | 10K | – |
| AIR PRODS & CHEMS INC | apd | 32K | 125K | – |
| APOLLO GLOBAL MANAGEMENT LLC | apo | 63K | 532K | – |
| BROADCOM INC | avgo | 94K | 59K | – |
| AMERICAN EXPRESS CO | axp | 60K | 259K | – |
| ASTRAZENECA PLC-SPONS ADR | azn | 33K | 417K | – |
| BOEING CO | ba | 564 | 3K | – |
| BANK OF AMERICA CORP | bac | 639 | 16K | – |
| BOOZ ALLEN HAMILTON HOLDING CORP | bah | 62K | 405K | – |
| BANK OF NEW YORK MELLON CORP | bk | 670 | 11K | – |
| BLACKROCK INC | blk | 43K | 55K | – |
| BRISTOL MYERS SQUIBB CO | bmy | 2K | 60K | – |
| BP PLC-SPONS ADR | bp | 3K | 87K | – |
| BERKSHIRE HATHAWAY CL A 1/100 | brka | 612 | 100 | – |
| BERKSHIRE HATHAWAY CL B | brkb | 3K | 6K | – |
| BROWN & BROWN INC | bro | 10K | 113K | – |
| INVESCO BULLETSHARES 2024 CORP BOND | bsco | 9K | 447K | – |
| INVESCO BULLETSHARES 2025 CORP BOND | bscp | 8K | 405K | – |
| INVESCO BULLETSHARES 2026 CORP BOND | bscq | 7K | 380K | – |
| INVESCO BULLETSHARES 2027 CORP BOND | bscr | 7K | 342K | – |
| INVESCO BULLETSHARES 2028 CORP BOND | bscs | 6K | 282K | – |
| INVESCO BULLETSHARES 2029 CORP BOND | bsct | 311 | 17K | – |
| BLACKSTONE INC | bx | 267 | 2K | – |
| CATERPILLAR INC | cat | 27K | 80K | – |
| COMMERCE BANCSHARES INC | cbsh | 1K | 20K | – |
| CONSTELLATION ENERGY CORP | ceg | 39K | 192K | – |
| CIGNA GROUP | ci | 47K | 142K | – |
| COLGATE PALMOLIVE CO | cl | 770 | 8K | – |
| COMCAST CORP CLASS A | cmcsa | 3K | 70K | – |
| CHIPOLTE MEXICAN GRILL CL A | cmg | 257 | 4K | – |
| CONOCOPHILLIPS | cop | 58K | 503K | – |
| COSTCO WHOLESALE CORP | cost | 2K | 2K | – |
| CISCO SYSTEMS INC | csco | 45K | 952K | – |
| CSW INDUSTRIALS INC | cswi | 212 | 800 | – |
| CSX CORP | csx | 1K | 34K | – |
| CVS HEALTH CORP | cvs | 24K | 398K | – |
| CHEVRON CORPORATION | cvx | 49K | 315K | – |
| DOMINION ENERGY INC | d | 25K | 512K | – |
| DUPONT DE NEMOURS INC | dd | 237 | 3K | – |
| DEERE & CO | de | 63K | 170K | – |
| DISCOVER FINANCIAL SERVICES | dfs | 5K | 36K | – |
| ISHARES CORE DIVIDEND GROWTH ETF | dgro | 30K | 515K | – |
| THE WALT DISNEY CO | dis | 32K | 318K | – |
| AMDOCS LTD | dox | 32K | 405K | – |
| DARDEN RESTAURANTS INC | dri | 732 | 5K | – |
| DTE ENERGY COMPANY | dte | 38K | 339K | – |
| DT MIDSTREAM INC | dtm | 3K | 35K | – |
| DUKE ENERGY HOLDING CORP | duk | 41K | 406K | – |
| CONSOLIDATED EDISON INC | ed | 2K | 22K | – |
| EDISON INTERNATIONAL | eix | 394 | 5K | – |
| EASTMAN CHEMICAL COMPANY | emn | 34K | 347K | – |
| EMERSON ELECTRIC CO | emr | 320 | 3K | – |
| ENBRIDGE INC | enb | 32K | 889K | – |
| EOG RESOURCES INC | eog | 38K | 303K | – |
| ENTERPRISE PRODUCTS | epd | 210 | 7K | – |
| EVERSOURCE ENERGY | es | 4K | 71K | – |
| EATON CORPORATION PLC F | etn | 63K | 201K | – |
| ENTERGY CORP | etr | 40K | 377K | – |
| EVERGY INC | evrg | 328 | 6K | – |
| EXELON CORPORATION | exc | 32K | 925K | – |
| FREEPORT MCMORAN INC | fcx | 274 | 6K | – |
| FIRSTENERGY CORP | fe | 42K | 1M | – |
| FIRST HORIZON CORP | fhn | 318 | 20K | – |
| GENERAL DYNAMICS CORP | gd | 10K | 35K | – |
| GENERAL ELECTRIC CO | ge | 327 | 2K | – |
| GENERAL MILLS INC | gis | 33K | 523K | – |
| SPDR GOLD TRUST | gld | 814 | 4K | – |
| ALPHABET INC CL C | goog | 945 | 5K | – |
| ALPHABET INC CL A | googl | 1K | 6K | – |
| GENUINE PARTS CO | gpc | 38K | 278K | – |
| GOLDMAN SACHS GROUP INC | gs | 37K | 82K | – |
| HOME DEPOT INC | hd | 43K | 126K | – |
| HONEYWELL INTERNATL INC | hon | 51K | 238K | – |
| THE HERSHEY COMPANY | hsy | 256 | 1K | – |
| INTL BUSINESS MACHINES CORP | ibm | 2K | 13K | – |
| INTERCONTINENTIAL EXCHANGE INC | ice | 39K | 288K | – |
| INTEL CORPORATION | intc | 2K | 79K | – |
| INTUIT INC | intu | 202 | 308 | – |
| INTUITIVE SURGICAL INC | isrg | 326 | 733 | – |
| ILLINOIS TOOL WORKS | itw | 585 | 2K | – |
| ISHARES S&P500 VALUE INDEX ETF | ive | 205 | 1K | – |
| ISHARES CORE S&P 500 ETF | ivv | 297 | 542 | – |
| ISHARES S&P 500 GROWTH ETF | ivw | 278 | 3K | – |
| ISHARES RUSSELL 2000 GROWTH ETF | iwo | 314 | 1K | – |
| ISHARES RUSSELL MIDCAP GROWTH ETF | iwp | 458 | 4K | – |
| ISHARES RUSSELL MIDCAP ETF | iwr | 259 | 3K | – |
| ISHARES RUSSELL MIDCAP VALUE ETF | iws | 215 | 2K | – |
| JOHNSON & JOHNSON | jnj | 45K | 308K | – |
| JP MORGAN CHASE & CO | jpm | 75K | 369K | – |
| JERVOIS GLOBAL LTD | jrvmf | 0 | 25K | – |
| KIMBERLY CLARK CORP | kmb | 37K | 269K | – |
| COCA COLA CO | ko | 40K | 630K | – |
| LINCOLN ELECTRIC HOLDINGS INC | leco | 42K | 223K | – |
| ELI LILLY & CO | lly | 2K | 2K | – |
| LOCKHEED MARTIN CORP | lmt | 41K | 88K | – |
| ALLIANT ENERGY CORP | lnt | 38K | 756K | – |
| LOWES COS INC | low | 1K | 6K | – |
| LAM RESEARCH CORP | lrcx | 65K | 61K | – |
| MCDONALDS CORPORATION | mcd | 1K | 6K | – |
| MCKESSON CORPORATION | mck | 238 | 407 | – |
| MONDELEZ INTL INC | mdlz | 35K | 541K | – |
| MEDTRONIC PLC | mdt | 28K | 362K | – |
| METLIFE INC | met | 252 | 4K | – |
| META PLATFORMS INC CL A | meta | 1K | 2K | – |
| MCCORMICK & CO INC | mkc | 3K | 40K | – |
| MARSH & MCLENNAN COS | mmc | 54K | 255K | – |
| 3M COMPANY | mmm | 622 | 6K | – |
| MARATHON PETROLEUM CORP | mpc | 205 | 1K | – |
| MERCK AND CO INC NEW | mrk | 46K | 375K | – |
| MICROSOFT CORP | msft | 138K | 309K | – |
| NEXTERA ENERGY INC | nee | 49K | 686K | – |
| NISOURCE INC | ni | 37K | 1M | – |
| NORTHROP GRUMMAN CORP | noc | 463 | 1K | – |
| NORFOLK SOUTHERN CORP | nsc | 3K | 16K | – |
| NESTLE SA SPONSORED ADR | nsrgy | 279 | 3K | – |
| NVIDIA CORP | nvda | 1K | 10K | – |
| NOVO-NORDISK A/S SPONS ADR | nvo | 241 | 2K | – |
| OGE ENERGY CORP | oge | 353 | 10K | – |
| OMNICOM GROUP | omc | 39K | 438K | – |
| ORACLE CORP | orcl | 80K | 564K | – |
| O'REILLY AUTOMOTIVE INC | orly | 410 | 388 | – |
| PAYCHEX INC | payx | 230 | 2K | – |
| PHILLIPS EDISON & CO INC | peco | 650 | 20K | – |
| PEPSICO INC | pep | 45K | 273K | – |
| PFIZER INC | pfe | 374 | 13K | – |
| PROCTER & GAMBLE CO | pg | 50K | 302K | – |
| PROGRESSIVE CORP | pgr | 723 | 3K | – |
| PHILIP MORRIS INTL | pm | 34K | 339K | – |
| PNC FINANCIAL SERVICES GROUP | pnc | 39K | 254K | – |
| PORTLAND GENERAL ELECTRIC CO | por | 1K | 34K | – |
| PPG INDUSTRIES INC | ppg | 34K | 270K | – |
| PRIMERICA INC | pri | 222 | 939 | – |
| PHILLIPS 66 | psx | 618 | 4K | – |
| QUALCOMM INC | qcom | 8K | 42K | – |
| INVESCO QQQ TRUST SERIES 1 | qqq | 479 | 999 | – |
| REGIONS FINANCIAL CORP | rf | 49K | 2M | – |
| REINSURANCE GROUP OF AMERICA INC | rga | 50K | 246K | – |
| RLI CORP | rli | 21K | 147K | – |
| RESMED INC | rmd | 38K | 198K | – |
| RPM INTERNATIONAL INC | rpm | 4K | 39K | – |
| INVESCO S&P 500 EQUAL WEIGHT ETF | rsp | 17K | 102K | – |
| STARBUCKS CORP | sbux | 2K | 24K | – |
| SCHWAB US DVD EQUITY ETF | schd | 30K | 386K | – |
| CHARLES SCHWAB CORP | schw | 5K | 67K | – |
| SCHWAB US AGGREGATE BOND ETF | schz | 343 | 8K | – |
| SERVICE CORP INTL | sci | 37K | 519K | – |
| SHELL PLC ADR | shel | 525 | 7K | – |
| SHERWIN WILLIAMS CO | shw | 252 | 845 | – |
| SLB | slb | 29K | 622K | – |
| SOUTHERN CO | so | 44K | 570K | – |
| S&P GLOBAL INC | spgi | 53K | 118K | – |
| SPDR S&P 500 ETF TRUST | spy | 2K | 3K | – |
| SEMPRA | sre | 228 | 3K | – |
| ISHARES 0-5 YEAR TIPS BOND | stip | 318 | 3K | – |
| CONSTELLATION BRANDS INC | stz | 36K | 140K | – |
| STANLEY BLACK & DECKER INC. | swk | 22K | 277K | – |
| STRYKER CORP | syk | 1K | 4K | – |
| SYSCO CORP | syy | 34K | 470K | – |
| AT&T INC | t | 38K | 2M | – |
| TRUIST FINANCIAL CORP | tfc | 552 | 14K | – |
| TARGET CORP | tgt | 43K | 291K | – |
| T ROWE PRICE ASSOCIATES | trow | 504 | 4K | – |
| TC ENERGY CORP | trp | 356 | 9K | – |
| TRAVELERS COMPANIES INC | trv | 1K | 7K | – |
| TEXAS INSTRUMENTS INC | txn | 25K | 131K | – |
| UNITEDHEALTH GROUP | unh | 71K | 140K | – |
| UNION PACIFIC CORP | unp | 1K | 4K | – |
| UNITED PARCEL SERVICE B | ups | 4K | 31K | – |
| US BANCORP | usb | 32K | 805K | – |
| VISA INC CLASS A SHARES | v | 425 | 2K | – |
| VANGUARD SHORT-TERM CORPORATE ETF | vcsh | 485 | 6K | – |
| VERU INC | veru | 8 | 10K | – |
| VANGUARD DIVIDEND APPRECIATION ETF | vig | 929 | 5K | – |
| VANGUARD S&P 500 ETF | voo | 336 | 673 | – |
| VERIZON COMMUNICATIONS | vz | 38K | 924K | – |
| WARNER BROS DISCOVERY INC | wbd | 154 | 21K | – |
| WEC ENERGY GROUP INC | wec | 37K | 478K | – |
| WELLS FARGO & COMPANY | wfc | 288 | 5K | – |
| WASTE MANAGEMENT INC | wm | 354 | 2K | – |
| WILLIAMS COS INC | wmb | 44K | 1M | – |
| WALMART INC | wmt | 2K | 29K | – |
| WORTHINGTON ENTERPRISES INC | wor | 263 | 6K | – |
| WILLIAMS SONOMA | wsm | 508 | 2K | – |
| XCEL ENERGY | xel | 36K | 670K | – |
| COMMUNICATION SERV SEL SEC SPDR ETF | xlc | 4K | 46K | – |
| ENERGY SELECT SECTOR SPDR | xle | 4K | 41K | – |
| FINANCIAL SELECT SECTOR SPDR | xlf | 6K | 145K | – |
| INDUSTRIAL SELECT SECTOR SPDR | xli | 675 | 6K | – |
| TECHNOLOGY SELECT SECTOR SPDR | xlk | 727 | 3K | – |
| CONSUMER STAPLES SELECT SECTOR SPDR | xlp | 2K | 30K | – |
| UTILITIES SELECT SECTOR SPDR | xlu | 12K | 174K | – |
| HEALTH CARE SELECT SECTOR SPDR | xlv | 3K | 21K | – |
| EXXON MOBIL CORPORATION | xom | 43K | 375K | – |
| YUM! BRANDS INC | yum | 234 | 2K | – |