VANGUARD ADVISERS, INC.
Adviser information for VANGUARD ADVISERS, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 2107 |
|---|---|
| Investment Advisory/Research | 1558 |
| Registered Broker-Dealer Representatives | 1984 |
| Registered State Investment Advisers | 1883 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 11 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 551,090 | $143.8B |
| Non-Discretionary | 253,372 | $189.3B |
| Total | 804,462 | $333.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 748,343 | $148.8B |
| HNW Individuals | 54,878 | $106.7B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 12 | $13.3B |
| Pension and profit sharing plans | 115 | $13.6B |
| Charitable organizations | 908 | $40.2B |
| State or municipal gov entities | 4 | $105.5M |
| Other investment advisers | 21 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 139 | $9.2B |
| Other | 7 | $1.0B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 151862 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 152000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered municipal advisor |
Principal Office
100 VANGUARD BLVDMALVERN
PA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 610-669-1000, Fax: 610-669-6600
Websites
www.instagram.com/vanguardgroup
www.youtube.com/vanguard
www.linkedin.com/company/vanguard-institutional-investing
www.reddit.com/user/vanguardgroup
institutional.vanguard.com/401k-plans/employee-advice.html
investor.vanguard.com/advice/personal-financial-advisor
investor.vanguard.com/advice/personal-hybrid-robo-advisor
investor.vanguard.com/advice/robo-advisor
www.facebook.com/vanguard
www.twitter.com/vanguard_group
www.linkedin.com/company/vanguard
investor.vanguard.com/advice/compare-investment-advice
Chief Compliance Officer
MARC STEWART
14321 NORTHSIGHT BLVD.
SCOTTSDALE
AZ
United States
Tel:
480-713-0127
Fax:
610-669-6600
M***********@***********M
(Full email address available in API data)
Regulatory Contact
JAMES C. CREEL
ASSOCIATE GENERAL COUNSEL
100 VANGUARD BLVD
MALVERN
PA
United States
Tel:
610-669-1219
Fax:
610-669-6600
J************@***********M
(Full email address available in API data)
Industry Affiliates
| VANGUARD FIDUCIARY TRUST COMPANY | Trust companySponsor, GP, manager of pooled investment vehicles |
| VANGUARD GLOBAL ADVISERS, LLC | Other investment adviser, including financial planners |
| VANGUARD GROUP INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VANGUARD MARKETING CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| VANGUARD NATIONAL TRUST COMPANY | Banking or thrift institutionTrust company |
| VANGUARD PERSONALIZED INDEXING MANAGEMENT | Other investment adviser, including financial planners |
| VGI INSURANCE, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLIATH, INC, A WHOLLY OWNED SUBSIDIARY OF THE VANGUARD GROUP INC | Domestic Entity | – | STOCKHOLDER | 06/1995 | > 75% |
| THE VANGUARD GROUP, INC. | Domestic Entity | GOLIATH, INC | STOCKHOLDER | 06/1995 | > 75% |
| VANGUARD INDEX FUNDS | Domestic Entity | THE VANGUARD GROUP, INC. | STOCKHOLDER | 08/1976 | 25-50% |
| BUCKLEY, MORTIMER, JOSEPH | Individual | – | PRESIDENT AND CEO | 02/2018 | < 5% |
| RISI, KARIN, ANN | Individual | – | DIRECTOR | 05/2015 | < 5% |
| ROLLINGS, MICHAEL, THOMAS | Individual | – | DIRECTOR | 09/2016 | < 5% |
| BRANCATO, MATTHEW, CLARK | Individual | – | DIRECTOR | 05/2020 | < 5% |
| BENCHENER, MATTHEW, JOHN | Individual | – | DIRECTOR | 12/2020 | < 5% |
| BISORDI, JOHN | Individual | – | DIRECTOR AND GENERAL COUNSEL | 02/2022 | < 5% |
| PETTY, DAVID | Individual | – | CHIEF FINANCIAL OFFICER | 10/2021 | < 5% |
| STEWART, MARC | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |