VANGUARD ADVISERS, INC.
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VANGUARD ADVISERS, INC.
(CRD# 106715)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Malvern, PA.
The SEC approved the firm to operate as an RIA in
Jul 1995.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$160.9 Billion,
with discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
3%
of RAUM.
Non-US investors represent
0%
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VANGUARD ADVISERS, INC.
also reported in
Mar 2019
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984
employees,
with
937
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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VANGUARD ADVISERS, INC. has one or more disclosure events currently on file with the SEC.
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VANGUARD ADVISERS, INC. has Notice Filings with the following State Securities Authorities: AK-Apr 2009, AL-Apr 2009, AR-Apr 2009, AZ-Apr 2009, CA-Apr 20
, CO-Apr 2009, CT-Apr 2009, DC-Apr 2009, DE-Mar 1996, FL-Apr 2
, GA-Apr 2009, HI-Apr 2009, IA-Apr 2009, ID-Apr 2009, IL-Apr 1
, IN-Apr 2009, KS-Apr 2009, KY-Apr 2009, LA-Apr 2009, MA-Apr 2
, MD-Apr 2009, ME-Apr 2009, MI-Apr 2009, MN-Apr 2009, MO-Apr 2
, MS-Apr 2009, MT-Apr 2009, NC-Apr 2009, ND-Apr 2009, NE-Apr 2
, NH-Apr 2009, NJ-Apr 2009, NM-Apr 2009, NV-Apr 2009, NY-Apr 2
, OH-Apr 2009, OK-Jan 1998, OR-Apr 2009, PA-Sep 1996, PR-Apr 2
, RI-Apr 2009, SC-Apr 2009, SD-Apr 2009, TN-Apr 1996, TX-Jun 1
, UT-Apr 2009, VA-Apr 2009, VI-Apr 2009, VT-Apr 2009, WA-Apr 2
, WI-Apr 2009, WV-Apr 2009, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
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