VAUGHAN AND COMPANY SECURITIES, INC.

RIA/Wealth

VAUGHAN AND COMPANY SECURITIES, INC. is a RIA/Wealth based in Ridgewood, NJ led by James Daniel Iii Vaughan, reporting $280.0M in AUM as of Q3 2025 with 87% ETF concentration and 82% concentrated in top 10 holdings.

CEOJames Daniel Iii Vaughan

Portfolio Value: $188.2M
Positions: 57
Top Holding: IWF at 13.14%
Last Reported: Q3 2025

Address68 Passaic Street, Ridgewood, NJ, 07450-9901, United States

Top Holdings

Largest long holdings in VAUGHAN AND COMPANY SECURITIES, INC.'s portfolio (82% of total portfolio)

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Holding	Sector	Position	Weight	Traded	Ownership	Owned Since
1 iShares Russell 1000 Growth IWF	ETF ETF	$24.7M	13.14%	-$172.8K Sold	— 52.8K shares	Q4 2019 Held for 5y 11m
2 Goldman Sachs ActiveBeta U.S. Large Cap Equity GSLC	ETF ETF	$23.8M	12.62%	+$236.3K Bought	— 182.3K shares	Q4 2022 Held for 2y 11m
3 iShares Russell 2000 Growth IWO	ETF ETF	$23.4M	12.42%	+$229.1K Bought	— 73.1K shares	Q4 2019 Held for 5y 11m
4 iShares Core High Dividend HDV	ETF ETF	$21.3M	11.31%	+$779.0K Bought	— 173.9K shares	Q4 2019 Held for 5y 11m
5 iShares Morningstar Small-Cap Value ISCV	ETF ETF	$19.4M	10.29%	+$583.9K Bought	— 290.7K shares	Q2 2022 Held for 3y 5m
6 iShares Core MSCI Emerging Markets IEMG	ETF ETF	$14.4M	7.66%	+$102.0K Bought	— 218.7K shares	Q4 2019 Held for 5y 11m
7 iShares Core MSCI EAFE ETF IEFA	ETF ETF	$12.5M	6.64%	+$609.2K Bought	— 143.2K shares	Q2 2022 Held for 3y 5m
8 iShares Global Tech IXN	ETF ETF	$9.6M	5.08%	-$25.2K Sold	— 92.6K shares	Q4 2022 Held for 2y 11m
9 EFAV iShares MSCI EAFE Min Vol Factor EFAV	ETF ETF	$2.7M	1.45%	-$678.6 Sold	— 32.3K shares	Q4 2019 Held for 5y 11m
10 WisdomTree U.S. SmallCap Dividend DES	Unknown Unknown	$2.6M	1.40%	—	— 78.2K shares	Q4 2022 Held for 2y 11m

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Changes

Portfolio activity, position movements, and quarter-over-quarter changes in VAUGHAN AND COMPANY SECURITIES, INC.'s latest filing

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Market Value

$188.2M

Prior: $174.4M

Q/Q Change

+7.95%

+$13.9M

Net Flows % of MV

-0.128%

Turnover Ratio

2.72%

New Purchases

1 stocks

$696.6K

Added To

19 stocks

+$4.3M

Sold Out Of

1 stocks

$222.9K

Reduced Holdings

29 stocks

-$5.0M

Increased Positions

Position	Shares Δ	Change
1 Eastman Chemical EMN	New	0 → 11.0K +$696.6K
2 United Parcel Service, Inc. UPS	+84.21%	5.2K → 9.5K +$363.0K
3 Chord Energy CHRD	+75.39%	2.1K → 3.7K +$157.4K
4 Oneok OKE	+48.54%	6.2K → 9.2K +$218.2K
5 Bristol-Myers Squibb BMY	+42.44%	11.7K → 16.6K +$223.7K

Decreased Positions

Position	Shares Δ	Change
1 Meta Platforms, Inc. META	Sold	302.0 → 0 −$222.9K
2 iShares Exponential Technologies XT	-73.35%	12.6K → 3.4K −$664.5K
3 ESML iShares ESG Aware MSCI USA Small-Cap ETF ESML	-51.68%	11.6K → 5.6K −$271.2K
4 Brookfield Infrastructure Corporation BIPC	-49.43%	17.6K → 8.9K −$357.7K
5 Philip Morris International PM	-40.98%	8.4K → 5.0K −$561.5K

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Analytics

Portfolio insights and performance metrics for VAUGHAN AND COMPANY SECURITIES, INC.

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Sector Allocation

ETF

87.10%

Financial Services

1.70%

Utilities

1.60%

Technology

1.50%

Energy

1.40%

Healthcare

1.30%

Communication Services

0.90%

Industrials

0.90%

Basic Materials

0.80%

Consumer Defensive

0.40%

Real Estate

0.40%

Consumer Cyclical

0.10%

Market Cap Distribution

Mega Cap (> $200B)

2.75%

Large Cap ($10B - $200B)

6.46%

Mid Cap ($2B - $10B)

1.82%

N/A (ETF or Unknown)

88.97%

Portfolio Concentration

Top 10 Holdings %

82.02%

Top 20 Holdings %

88.92%

Top 50 Holdings %

98.93%

Top 100 Holdings %

100.0%