Raaj Arvind Gupta

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2022 → Present
  The Vanguard Group, Inc.
  Charlotte, NC
• 01/2021 → 04/2022
  Unemployed
  Loveland, OH
• 10/2014 → 01/2021
  Td Ameritrade
  Cincinnati, OH
• 01/2023 → Present
  Alpha Sights
  New York, NY

Previous Registrations

• 2009-01-29 → 2021-01-11
  Td Ameritrade, Inc.
  Cary, NC
  Cincinnati, OH
• 2009-01-29 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Cary, NC
  Cary, NC
  Cincinnati, OH
• 2008-06-02 → 2008-07-30
  Pnc Wealth Management Llc
  Cranberry Township, PA
• 2007-02-16 → 2008-05-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pittsburgh, PA
  Pittsburgh, PA

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: ALPHA SIGHTS INVESTMENT RELATED ADDRESS (City/State): NEW YORK, NEW YORK NATURE OF BUSINESS: CONSULTING POSITION: SURVEY PARTICPANT / CONSULTANT START DATE (Month/Year): 012023 APPROXIMATE HOURS PER MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: ANSWER SURVEYS

Exams

• S66 Uniform Combined State Law Examination
  2007-02-15

Other Names

• Raaj Arvind Gupta
• Raaj Arvind Gupta
• Raaj Gupta