David Vaughan Investments, LLC
Firm details
- Headquarters
- Peoria, Illinois
- CRD number
- 105990
- Registered since
- March 17, 1977
- Website
- www.dviinc.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI69.34%
- Banking / Thrift Institutions10.52%
- Charitable Organizations6.53%
- Pension & Profit Sharing Plans5.97%
- Individuals3.95%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers
Firm profile
FINTRXOverview
David Vaughan Investments, LLC is an independent registered investment adviser organized as an LLC and SEC-registered since 1977. The firm acts as a capital allocator for both individual/family and institutional clients and charges a mix of percentage-of-AUM and fixed fees. Core advisory services include financial planning, portfolio management for individuals, small businesses and institutions, and selection of other advisers. The firm indicates it is not an active ESG investor and lists a banking/thrift institution affiliation on its filings. David Vaughan Investments appeared on CNBC’s Top 100 Financial Advisory Firms lists from 2019 through 2022.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities81%
- Investment Grade Corp Bonds9%
- Public Funds/Mutual Funds5%
- Cash & Cash Equivalents4%
- State & Local Bonds1%
Owners & executives
3 of 4
Lawrence Williams Iv
Chairman, President & CEO PartnerCRD 2254189
Alfredo Risi
Chief Operating OfficerCRD 5223406
Brian Christensen
Senior Vice President & CIO PartnerCRD 1643784
Contacts
3 of 31
Dalton Mellon
Portfolio ManagerCRD 6070698
Alexis Morey
Assistant Relationship ManagerCRD 7433297
Michael Flaherty
Senior Relationship ManagerCRD 5558877
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 75Active vs passive
$373M in ETFs
99%
$369M
1%
$4.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE DIVIDEND GROWTH ETF (DGRO) | BlackRock | Passive | Large Value | $43.7M | 576,397 | 11.72% |
Location
Peoria, IL
Peoria
Location
Peoria, IL
Headquartered in Peoria, IL, in the Midwest of the United States.
- Region
- Midwest
- County
- Peoria
- Address
- 5823 N Forest Park Dr
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
Guardian Wealth Management Inc.
RIAPeoria, IL
Johnston Investment Counsel, Ltd.
RIAPeoria, IL
Macro Wealth Management, Inc.
RIAPeoria, IL
RP Zeigler Investment Services
RIAPeoria, IL
Nash-Hasty Private Wealth Management
RIAPeoria, IL
Storehouse Wealth Management, LLC
RIAPeoria, IL