James Vaughan
James Vaughan is a CFP-designated registered investment advisor at Vaughan and Company Securities, INC., based in Ridgewood, NJ, with 40 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 193 clients with $220M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 0.25% |
| $500K - $1.0M | 0.25% |
| $1.0M - $2.0M | 0.25% |
| $2.0M - $3.5M | 0.25% |
| $3.5M - $5.0M | 0.25% |
| $5.0M - $7.5M | 0.25% |
| $7.5M - $10.0M | 0.25% |
| $10.0M - $15.0M | 0.25% |
| $15.0M - $20.0M | 0.25% |
| $20.0M - $30.0M | 0.25% |
| $30M+ | 0.25% |
Fees are negotiable for accounts over $30,000,000. The Vaughan Dividend Growth Program has a similar tiered structure, plus a performance fee of 10% of investment gains. "Held Away" accounts have a 0.25% discount on the standard fee schedule.
Fee Estimator
Location
68 Passaic Street, Ridgewood, NJ, 07450-9901
Get directionsHistory
Regulatory History (2)
Regulatory
July 2000Regulatory
May 1990Other Business Activities
James runs the day-to-day operations of Officer Pension Administrators Inc. and has since 1984, dedicating a few hours per week to overseeing the firm; most clients are also broker-dealer clients. James is also an attorney-at-law.
Employment History
Current Registrations
Vaughan and Company Securities, INC.
Previous Registrations
Vaughan and Company Securities, INC.Broker
Anchor National Financial Services, INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.