VAUGHAN & COMPANY SECURITIES, INC.

https://www.facebook.com/VaughanandCo/ RIDGEWOOD, NJ Broker-Dealer Investment Advisor How do I update this listing?

Vaughan & Company Securities is based out of Ridgewood. Vaughan & Company Securities is a large advisory firm with 122 clients and discretionary assets under management (AUM) of $117,000,000 (Form ADV from 2021-05-06). Their last reported 13F filing for Q1 2021 included $123,959,000 in managed 13F securities and a top 10 holdings concentration of 81.19%. Vaughan & Company Securities's largest holding is iShares Russell 2000 Growth ETF-iShares Russell 2000 Growth ETF with shares held of 70,353. Whalewisdom has at least 6 13F filings

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03/31/2021

13F Activity

  • Market Value $123.959 Million
  • Prior Market Value $112.813 Million
  • New Purchases6 stocks
  • Additional Purchases19 stocks
  • Sold out of5 stocks
  • Reduced holdings in20 stocks
  • Top 10 Holdings % 81.19 %
  • Turnover % [1]:21.15%
  • Turnover Alt % [2]: 3.35 %
  • Time Held Top20:3.00 quarters
  • Time Held Top10:4.90 quarters
  • Time Held All:4.23 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17

Performance for Q1 2021: 11.23%
Performance Last 4 Quarters: 49.51%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

VAUGHAN AND COMPANY SECURITIES, INC.
68 PASSAIC STREET
RIDGEWOOD NJ    07450-9901
Country: United States

Business Phone: 201 444-1361
Fax: 201-670-1352
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NJ
Number of employees: 8
Other Business Activities: ,WEALTH PLANNING
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees,SELECTION OF TPMM
Amount of client funds and securities:
Total Number of Clients: 122
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (3),11.D (4),11.D (5),11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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VAUGHAN AND COMPANY SECURITIES, INC.

ownership team - last updated 2021-03-09
Name Title Start Date Direct/Indirect % Ownership
VAUGHAN, JAMES DANIEL JR REGISTERED REPRESENTATIVE 10/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. REGISTERED REPRESENTATIVE direct 1986-10-01
VAUGHAN, JAMES DANIEL III CEO, CFO, PRESIDENT, TRUSTEE 10/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01
JAMES D. VAUGHAN JR.GRANTOR TRUST SHAREHOLDER 07/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. SHAREHOLDER direct 1997-07-01
VAUGHAN, JAMES DANIEL III CHIEF COMPLIANCE OFFICER 02/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01

VAUGHAN AND COMPANY SECURITIES, INC.

ownership team - last updated 2020-11-24
Name Title Start Date Direct/Indirect % Ownership
VAUGHAN, JAMES DANIEL JR REGISTERED REPRESENTATIVE 10/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. REGISTERED REPRESENTATIVE direct 1986-10-01
VAUGHAN, JAMES DANIEL III CEO, CFO, PRESIDENT, TRUSTEE 10/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01
JAMES D. VAUGHAN JR.GRANTOR TRUST SHAREHOLDER 07/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. SHAREHOLDER direct 1997-07-01
VAUGHAN, JAMES DANIEL III CHIEF COMPLIANCE OFFICER 02/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01

VAUGHAN AND COMPANY SECURITIES, INC.

ownership team - last updated 2020-09-17
Name Title Start Date Direct/Indirect % Ownership
VAUGHAN, JAMES DANIEL JR REGISTERED REPRESENTATIVE 10/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. REGISTERED REPRESENTATIVE direct 1986-10-01
VAUGHAN, JAMES DANIEL III CEO, CFO, PRESIDENT, TRUSTEE 10/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01
JAMES D. VAUGHAN JR.GRANTOR TRUST SHAREHOLDER 07/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. SHAREHOLDER direct 1997-07-01
VAUGHAN, JAMES DANIEL III CHIEF COMPLIANCE OFFICER 02/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01

VAUGHAN AND COMPANY SECURITIES, INC.

ownership team - last updated 2020-06-22
Name Title Start Date Direct/Indirect % Ownership
VAUGHAN, JAMES DANIEL JR REGISTERED REPRESENTATIVE 10/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. REGISTERED REPRESENTATIVE direct 1986-10-01
VAUGHAN, JAMES DANIEL III CEO, CFO, PRESIDENT, TRUSTEE 10/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01
JAMES D. VAUGHAN JR.GRANTOR TRUST SHAREHOLDER 07/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. SHAREHOLDER direct 1997-07-01
VAUGHAN, JAMES DANIEL III CHIEF COMPLIANCE OFFICER 02/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01

VAUGHAN AND COMPANY SECURITIES, INC.

ownership team - last updated 2004-10-06
Name Title Start Date Direct/Indirect % Ownership
VAUGHAN, JAMES DANIEL JR REGISTERED REPRESENTATIVE 10/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. REGISTERED REPRESENTATIVE direct 1986-10-01
VAUGHAN, JAMES DANIEL III PRESIDENT, TRUSTEE 10/01/1986 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. PRESIDENT, TRUSTEE direct 1986-10-01
JAMES D. VAUGHAN JR.GRANTOR TRUST SHAREHOLDER 07/01/1997 Direct 75% or more
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. SHAREHOLDER direct 1997-07-01
BRADY, PAUL GREGORY COMPLIANCE OFFICER 01/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
VAUGHAN AND COMPANY SECURITIES, INC. COMPLIANCE OFFICER direct 2003-01-01

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