David Vaughan Investments, LLC (Peoria)

Name: David Vaughan Investments, LLC
Address: 5823 N Forest Park Drive, Peoria, IL, 61614 3559
Telephone: 309-685-0033

David Vaughan Investments, LLC is a large advisory firm based in Peoria. It manages $2.43 billion of regulatory assets for 2,412 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arizona, California, Colorado, and 9 other states.

David Vaughan Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and tax qualified and taft-hartley pension plan consulting services. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

David Vaughan Investments: assets under management

The assets under management (AUM) of David Vaughan Investments, LLC is $2.43 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.43 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.01 million each.

David Vaughan Investments has custody of $1.39 billion in cash and securities for 650 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 9% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay David Vaughan Investments, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David John Vaughan Jr serves?

The firm provides services to individuals, insurance companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of David John Vaughan Jr is high net worth individuals with 371 clients and $1.64 billion of assets under management. Among the 10 most similar advisory firms, David Vaughan Investments has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $2.43 billion for 945 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

David Vaughan Investments doesn't advise any private funds.

Careers at David Vaughan Investments, LLC

The company employs 29 people that are either part- or full-time employees. 52 percent of the employees work as investment advisers or researchers. 15 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

David John Vaughan Jr has been acting as President since 1 Sep 2006. Kevin D Schoeplein joined the executive team most recently as the Elected Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Lawrence Williams Iv	President & ceo	1 Apr 2006	Other	2254189
James David Sinclair	Treasurer/chief compliance officer	1 Apr 2006	Other	3101931
David John Vaughan Jr	Director	1 Sep 2006	Other	4907373
Brian Andrew Christensen	Sr vice president	1 Sep 2006	Other	1643784
Patrick Joseph Smarjesse	Vice president	1 Sep 2006	Other	1385119
Todd Michael Sheridan	Vice president	1 Sep 2006	Other	2364260
John Vannorden Mcclure	Director	1 Jan 2008	Other	1475375
Virginia Johnson Pillman	Director	1 Jun 2011	Other	6037656
Wayne E Baum	Director	1 Jun 2012	Other	6163285
Michael Allen Price	Chief administrative officer	1 Jul 2014	Other	5902105
Michael L Dewalt	Director	1 Apr 2016	Other	6755743
Elizabeth W Salmon	Secretary	1 Jun 2017	Other	6833207
Dvi Capital Corp.	Owner	1 Jul 2017	Other	82-1852837
Dirk William Roecker	Director	1 Sep 2017	Other	6867723
Hometown Community Bancorp	Owner	1 Sep 2017	75% - 100%	36-4156822
Andrew Alan Honegger	Director	1 Sep 2017	Other	6868963
Inc. Hometown Community Bancorp	Member	1 Sep 2017	75% - 100%	36-4156822
Lawrence Williams Iv	Elected manager, chairman, president & ceo	1 Dec 2017	Other	2254189
Kevin D Schoeplein	Elected manager	1 Mar 2018	Other	6948895

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Employee Stock Ownership Plan & Trust Hometown Bancorp	Owner	1 Dec 1999	25% - 50%	37-1432723
Gordon Dean Honegger	Trustee	1 May 2001	Other	6871511
Andrew Alan Honegger	Trustee	1 May 2001	Other	6868963

Based in Peoria

The principal office where David Vaughan Investments, LLC performs its advisory services is located at 5823 N Forest Park Drive, Peoria, IL 61614 3559, which is also the mailing address of the firm. An additional office of the firm is in Winter Park, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 309-685-0033 or by fax 309-685-3665. The normal business hours are 8 am to 5 pm on Monday - Friday. You can find more information about the New York firm at dviinc.com.