SourcingSourcing

VAUGHAN AND COMPANY SECURITIES, INC.

B63
CRD 18826·SEC 801-118757·RIDGEWOOD, NJ
AUM
$218.9M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$657K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
VAUGHAN AND COMPANY SECURITIES, INC.
CRD
18826
SEC file #
801-118757
EIN
222578806
DBA names
—

Economics

AUM
$218.9M
AUM band
$100M-$500M
AUM trajectory
'21'26
$222.0M → $218.9M▼ -1%
Client mix
Individuals Other130
Individuals High Net Worth60
Pension Profit Sharing Plans2
Corporations1

Operations

Employees (total)
7
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'21'26
3 advisors → 5 advisors▲ +67%
Primary office
RIDGEWOOD NJ
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMFixed feesPerformance-based feesOther Compensation

Filings

Latest ADV filing
04/20/2026
ADV-W filed at
—
Website
facebook.com/vaughanandco(social)

Compliance

Disclosures (firm)
5
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
JAMES D. VAUGHAN JR.GRANTOR TRUST
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
JAMES D. VAUGHAN JR.GRANTOR TRUST
VAUGHAN, JAMES DANIEL III
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
6
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0000805870
Edgar Registered
Yes
Edgar Filing Count
51
Edgar First Filing Date
2002-07-16
Edgar Last Filing Date
2026-04-27
Edgar 13f Count
26
Edgar 13f Latest AUM Estimate
Filing Date2026-04-27
Accession0002085853-26-000501
Edgar Former Names
VAUGHAN AND COMPANY SECURITIES, INC.

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
68 PASSAIC STREETRIDGEWOOD, NJ 07450-9998
Business
68 PASSAIC STREETRIDGEWOOD, NJ 07450-9998
Edgar EIN
222578806
Edgar Recent Filings
13F-HR2026-04-27 · 0002085853-26-000501
13F-HR2026-01-28 · 0002085853-26-000116
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (3)

3
VAUGHAN, JAMES DANIEL III
IAR · Direct Owner · 17.5%
1330813
JAMES DANIEL VAUGHAN
Executive Officer · 2.5%
453737
Tyler George Kennedy
IAR
7137935