Vaughn Investment Advisors

Yes. The firm is registered with the U.S. Securities and Exchange Commission as a Registered Investment Advisor (RIA). This registration status imposes a legal fiduciary duty requiring the firm to act in its clients' best interests when managing portfolios, a standard documented in its publicly available Form ADV filings.

No. According to the firm's regulatory filings, its advisory business does not include managing private funds, hedge funds, or mutual funds. Instead, it constructs client portfolios on a separately managed account basis, using individual equities and fixed-income securities to align directly with each client's stated objectives.

The firm's Form ADV indicates that it serves individual and high-net-worth clients alongside institutional accounts. Its minimum account size and target markets have not been publicly detailed in recent disclosures, but its fee structure is typical of an advisory practice focused on direct client relationships.

The firm charges asset-based advisory fees, a common structure for RIAs that are not dual-registered as broker-dealers. Its public filings confirm it does not earn commissions on securities transactions, meaning its revenue derives exclusively from advisory fees calculated as a percentage of client assets under management.

No. The firm's SEC registration documents state that it has no broker-dealer affiliation and is not engaged in any related financial industry business such as insurance underwriting, banking, or commodity trading. This independence aligns with its structure as a solely fee-based RIA.