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Vanguard Advisers, Inc. CRD 106715
$345B regulatory AUM 89,430 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-06 |
| NC | RA | APPROVED | 2025-10-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | Charlotte | NC | 08/2016 | 10/2020 |
| The Prudential Insurance Company Of America | Charlotte | NC | 02/2017 | 10/2020 |
| Tata Consultancy Services | Charlotte | NC | 11/2020 | 04/2021 |
| Cambridge Investment Research, Inc. | Charlotte | NC | 05/2021 | 08/2023 |
| Equitable Advisors, Llc | Charlotte | NC | 03/2024 | 08/2025 |
| Unemployed | Charlotte | NC | 09/2023 | 03/2024 |
| The Vanguard Group, Inc. | Charlotte | NC | 09/2025 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 09/2025 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 09/2025 | Present |
| New South Wealth Management, Llc | Charlotte | NC | 05/2021 | 09/2023 |
NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS: COLUMBIA, SC NATURE OF BUSINESS: REAL ESTATE POSITION: LANDLORD/OWNER START DATE: 06/2016 APPROXIMATE HOURS/MONTH: 3 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: INSURANCE POSITION: N/A START DATE: 08/2016 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: INSURANCE POSITION: N/A START DATE: 08/2016 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: INSURANCE POSITION: N/A START DATE: 01/2017 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-26 |
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