Neil Edwin Warburton

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

• 03/2007 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 12/2024 → Present
  Sumits Yoga
  Scottsdale, AZ
• 03/2007 → Present
  Vanguard Marketing Corporation
  Scottsdale, AZ
• 07/2018 → Present
  Vanguard Advisers, Inc.
  Scottsdale, AZ

Other Businesses

NAME OF BUSINESS: SUMITS YOGA NON-INVESTMENT-RELATED ADDRESS: SCOTTSDALE, AZ NATURE OF BUSINESS: YOGA INSTRUCTOR POSITION: COACH START DATE: 12/2024 APPROXIMATE HOURS/MONTH: 4 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TEACH YOGA CLASSES NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: SCOTTSDALE, AZ NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 01/2016 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FULL AGENT ON ACCOUNTS

Exams

• S63 Uniform Securities Agent State Law Examination
  2007-04-03

Designations

• Certified Financial Planner

Other Names

• Neil E Warburton