James Ryan Claxton

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:

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2019-07-22
TX	RA	APPROVED	2019-07-22

NC RA
APPROVED

Since 2019-07-22
TX RA
APPROVED

Since 2019-07-22

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	10/2011	Present
Vanguard Marketing Corporation	Charlotte	NC	10/2011	Present
Vanguard Advisers, Inc.	Charlotte	NC	07/2019	Present

10/2011 → Present

The Vanguard Group, Inc.

Charlotte, NC
10/2011 → Present

Vanguard Marketing Corporation

Charlotte, NC
07/2019 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Other Businesses

NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: REAL ESTATE POSITION: LANDLORD/OWNER START DATE: 08/2015 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS: NAGSHEAD, NC NATURE OF BUSINESS: REAL ESTATE POSITION: LANDLORD/OWNER START DATE: 06/2018 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 08/2026 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OCCASIONALLY PROCESSES TRANSACTIONS AND ASSISTS WITH RMD NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 08/2026 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OCCASIONALLY PROCESSES TRANSACTIONS AND ASSISTS WITH RMD

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2007-05-23

S63 Uniform Securities Agent State Law Examination

2007-05-23

Designations

Certified Financial Planner

Other Names

Jim Claxton

View on SEC IAPD