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William Fauzio

Vanderbilt Advisory Services
29 Years of Experience
North Brandon, CT
7 DisclosuresBrokerSells Insurance
View SEC Summary
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William Fauzio is a registered investment advisor at Vanderbilt Advisory Services, based in North Brandon, CT, with 29 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 6,470 clients with $2.1B in assets under management.

Vanderbilt Advisory Services
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
162 advisors
Number of Clients
6,470 clients
Average Client Portfolio
$326K average
Assets Under Management
$2.1B

Fee Structure

Planning is included in investment management (also available separately)
Minimum Annual Fee:$90

VAS offers investment management through its Managed Account Program and VFG Tactical Model Portfolios. Fees are based on assets under management and can be structured as a flat annual fee, flat percentage, threshold billing, or tiered billing. The specific fee structure is outlined in the Investment Advisory Agreement.

VAS also uses Betterment for Advisors, where fees range from 0.12% to 0.25% of account balances, charged monthly or quarterly. VAS also charges an advisory fee on top of the Betterment fee.

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Location

999 foxon Road, Suite 31, North Brandon, CT, 06471

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
September 2017
Final
Judgment / Lien
September 2008
Regulatory
April 2004
Final
Regulatory
November 2003
Final
Regulatory
June 2003
Final
Employment Separation After Allegations
August 2002
Civil Bond
April 1999
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William sells fixed insurance, specifically life insurance, since June 2023. This activity is not investment-related and takes about 10-20% of his time during regular hours.

Employment History
Current Registrations
Vanderbilt Advisory Services
March 2023 - Present · 3 yrs 4 mos
Vanderbilt Securities, LLCBroker
March 2023 - Present · 3 yrs 4 mos
Previous Registrations
Union Capital Company
July 2019 - March 2023 · 3 yrs 8 mos
Union Capital CompanyBroker
July 2019 - March 2023 · 3 yrs 8 mos
Capital Financial Services, INC.
June 2014 - July 2019 · 5 yrs 1 mo
Capital Financial Services, INC.Broker
June 2014 - July 2019 · 5 yrs 1 mo
William Paul Fauzio
April 2014 - June 2014 · 2 mos
Questar Asset Management, INC.
June 2008 - July 2009 · 1 yr 1 mo
Questar Capital CorporationBroker
December 2006 - July 2009 · 2 yrs 7 mos
Usallianz Securities, INC.Broker
April 2004 - December 2006 · 2 yrs 8 mos
Harvest Capital LLCBroker
May 2003 - April 2004 · 11 mos
Investors Capital CORP.Broker
August 2002 - March 2003 · 7 mos
Usallianz Securities, INC.Broker
December 1999 - August 2002 · 2 yrs 8 mos
Ffp Securities, INC.Broker
July 1997 - December 1999 · 2 yrs 5 mos
Ffp Securities, INC.Broker
July 1997 - July 1997 · 0 mos
Royal Alliance Associates, INC.Broker
November 1991 - July 1997 · 5 yrs 8 mos
State Registrations11 states
ALAZCACTFLIDNCNHPASCTX
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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