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Alexander Lord Rosenthal

Vanguard Advisers, Inc.

Charlotte, NC

CRD 7615817

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2023-03-28
TX RA APPROVED 2023-03-28
  • NC RA
    APPROVED
    Since 2023-03-28
  • TX RA
    APPROVED
    Since 2023-03-28

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
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 01/2023 Present
Randstad Charlotte NC 09/2022 11/2022
Morris Costumes Charlotte NC 10/2021 06/2022
Unemployed Rock Hill SC 05/2020 10/2020
Xms Solutions Inc. Rock Hill SC 03/2019 05/2020
Unemployed Charlotte NC 06/2018 03/2019
Unemployed Franklin NC 03/2018 06/2018
Unemployed Knoxville TN 01/2017 03/2018
Ameresco Knoxville TN 11/2014 01/2017
Unemployed Charlotte NC 10/2020 10/2021
Vanguard Marketing Corporation Charlotte NC 11/2025 Present
Vanguard Advisers, Inc. Charlotte NC 11/2025 Present
  • 01/2023 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 09/2022 → 11/2022
    Randstad
    Charlotte, NC
  • 10/2021 → 06/2022
    Morris Costumes
    Charlotte, NC
  • 05/2020 → 10/2020
    Unemployed
    Rock Hill, SC
  • 03/2019 → 05/2020
    Xms Solutions Inc.
    Rock Hill, SC
  • 06/2018 → 03/2019
    Unemployed
    Charlotte, NC
  • 03/2018 → 06/2018
    Unemployed
    Franklin, NC
  • 01/2017 → 03/2018
    Unemployed
    Knoxville, TN
  • 11/2014 → 01/2017
    Ameresco
    Knoxville, TN
  • 10/2020 → 10/2021
    Unemployed
    Charlotte, NC
  • 11/2025 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
  • 11/2025 → Present
    Vanguard Advisers, Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-24
  • S66 Uniform Combined State Law Examination
    2023-03-24
Other Names
  • Alexander Rosenthal
  • Alex Rosenthal
  • Alexander L Rosenthal
  • Alexanderlord Rosenthal

View on SEC IAPD

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