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Asset manager · Malvern, PA

Vanguard Capital Management, LLC

SEC-registered investment adviser · CRD 338002 · SEC 801-134586

At a glance

Vanguard Capital Management, LLC is an SEC-registered investment adviser based in Malvern, Pennsylvania, with $8.4 trillion in regulatory assets under management as of its Form ADV filed September 21, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2nd of 3,218 asset managers and 2nd of 17,210 SEC-registered advisers by assets.

Main office 610-669-1000As filed on Form ADV

Regulatory AUM
$8.44T
Rank among asset managers
#2 of 3,218
Rank among all SEC RIAs
#2 of 17,210
Rank in Pennsylvania
#2 of 564
Clients
128
Accounts
128
Discretionary
100% of AUM
Employees
235
Advisory staff
235
Offices
3

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Vanguard Capital Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Affiliated broker-dealer

It names affiliated broker-dealers: Vanguard Investments Canada Inc. and Vanguard Marketing Corporation.

Other RIAs with an affiliated broker-dealer

Who it serves

Client typeClientsRegulatory AUMShare
Investment companies128$8.44T100%

Disciplinary disclosures

Vanguard Capital Management, LLC answers yes to 106 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for investment companies
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management
  • Other

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on Vanguard Capital Management, LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 1 years of filings
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Growth over one, three and five years
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Rank against 555 peers of its type and size
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Owners and executives, with titles and stakes
8 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
5Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Vanguard Capital Management, LLC manage?

Vanguard Capital Management, LLC reports $8.4 trillion in regulatory assets under management across 128 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 21, 2026.

What kind of firm is Vanguard Capital Management, LLC?

Vanguard Capital Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.

Who are Vanguard Capital Management, LLC’s clients?

By assets, its largest client types are investment companies ($8.4 trillion, 128 clients).

Does Vanguard Capital Management, LLC have any disciplinary history?

Vanguard Capital Management, LLC answers yes to 106 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Vanguard Capital Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-21), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →