VAUGHAN & Co SECURITIES, INC.

Registered adviser

CIK

805870

Location

Ridgewood, NJ

Portfolio Value

Small $169,023,461

Diversification

Highly concentrated

Filing Date

Global Rank

#6,309 / 8,827 ▲ 540 · as of Jun 2026

Top Industry

Consumer Electronics 12.2%

Period ended 38 days ago

Filed Oct 23, 2026 · 15d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 18826

Roster of Nov 1, 2026

Regulatory AUM

$218,871,800

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Mar 2026 to Nov 2026	$218,871,800	Individuals and high net worth (100%)
Mar 2025 to Feb 2026	$280,000,000	Individuals and high net worth (89%)
Feb 2024 to Feb 2025	$250,000,000	Individuals and high net worth (92%)
May 2023 to Jan 2024	$226,000,000	Individuals and high net worth (88%)
Mar 2023 to Apr 2023	$226,000,000	Individuals and high net worth (88%)
Feb 2022 to Feb 2023	$275,000,000	Individuals and high net worth (89%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 91.5% of the book (60%+)

Turnover

Low turnover

6.6% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 22.5 quarters (12+), a floor since 65.7% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 90.0%; sector active share 76.5% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

61 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

65.7%

+4.6 pts

Top 5

86.7%

−1.6 pts

Top 10

89.8%

−1.6 pts

HHI

4,596

Highly concentrated+552

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	86.5%	$146,123,610	25
Technology	2.4%	$3,995,647	3
Energy	1.9%	$3,269,880	5
Financial Services	1.9%	$3,129,728	6
Healthcare	1.6%	$2,750,309	4
Utilities	1.5%	$2,554,736	5
Communication Services	1.4%	$2,426,315	4
Consumer Defensive	1.1%	$1,780,561	3
Industrials	0.9%	$1,530,091	3
Basic Materials	0.5%	$782,813	1
Real Estate	0.2%	$399,976	1
Consumer Cyclical	0.2%	$279,795	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

16 positions

Ticker	Company	Δ Shares	Shares	Value
TU	Telus Corp	+17,235	37,753	$316,747
—		+9,431	919,563	$0
RCI	Rogers Communications Inc	+5,191	19,786	$609,408
VZ	Verizon Communications Inc	+4,321	19,540	$896,299
IWF	iShares Russell 1000 Growth ETF	+4,076	216,801	$27,156,493
IEFA	iShares Core MSCI EAFE ETF	+3,019	154,384	$14,956,721
BX	Blackstone Inc.	+2,541	5,429	$608,536
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	+2,414	187,966	$27,262,588
EMN	Eastman Chemical Co	+2,047	12,073	$782,813
ISCV	iShares Morningstar Small-Cap Value ETF	+1,383	292,318	$21,867,198
IEMG	iShares Trust	+714	206,597	$0
APO	Apollo Global Management, Inc.	+302	3,400	$394,604
NWE	NorthWestern Energy Group, Inc.	+49	8,989	$614,667
AGG	iShares Core U.S. Aggregate Bond ETF	+24	8,264	$781,278
AMZN	Amazon Com Inc	+8	1,123	$279,795
ABBV	AbbVie Inc.	+3	2,625	$686,673
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
VICI	Vici Properties Inc.	−4,925	17,413	$399,976
VLY	Valley National Bancorp	−3,803	48,674	$614,265
IXN	iShares Global Tech ETF	−3,669	78,724	$11,668,471
GSK	GSK plc	−2,613	13,618	$655,979
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	−2,076	36,315	$2,153,842
VLO	Valero Energy Corp	−1,639	2,718	$1,053,523
CVS	CVS HEALTH Corp	−1,634	6,314	$541,046
MMM	3M Co	−1,174	3,577	$587,164
BMO	Bank Of Montreal	−1,022	3,968	$663,648
CM	Canadian Imperial Bank Of Commerce	−1,010	2,943	$324,259
DES	WisdomTree U.S. SmallCap Dividend Fund	−983	77,378	$2,932,626
BMY	Bristol Myers Squibb Co	−850	13,888	$866,611
PM	Philip Morris International Inc.	−747	3,677	$701,645
OGE	Oge Energy Corp.	−683	14,669	$666,265
ISCG	iShares Morningstar Small-Cap Growth ETF	−299	23,298	$1,425,348
CNP	Centerpoint Energy Inc	−237	12,906	$474,940
IBM	International Business Machines Corp	−206	2,658	$584,573
PPL	PPL Corp	−196	15,884	$522,424
BIPC	Brookfield Infrastructure Corp	−103	7,763	$276,440
ESML	iShares ESG Aware MSCI USA Small-Cap ETF	−90	5,262	$273,624
SPY	Spdr S&P 500 ETF Trust	−72	2,074	$1,581,694
IWO	iShares Russell 2000 Growth ETF	−65	69,761	$24,897,700
DVY	iShares Select Dividend ETF	−61	8,631	$1,312,516
EFAV	iShares MSCI EAFE Min Vol Factor ETF	−61	31,240	$2,846,588
UPS	United Parcel Service Inc	−47	7,907	$738,830
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
CMCSA	Comcast Corp	27,751	$603,861
HRL	Hormel Foods Corp	27,136	$541,091
CLX	Clorox Co	6,639	$537,825
XOM	ExxonMobil Holdings Corp	1,285	$209,133
No positions match the current search.

Sold Out

Positions the filer fully exited

4 positions

Ticker	Company	Shares	Value
PFE	Pfizer Inc	14,258	$343,332
LYB	LyondellBasell Industries N.V.	5,213	$274,464
DOW	Dow Inc.	9,034	$247,170
GOOGL	Alphabet Inc.	560	$200,127
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

61 tracked positions · $169,023,461 total · filing declares 61 positions · $212,511,753 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 61 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
GSLC	Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF	Added	187,966	+2,414	$27,262,588	+3.5%	16.13%
IWF	iShares Russell 1000 Growth ETF	Added	216,801	+4,076	$27,156,493	+2.8%	16.07%
IWO	iShares Russell 2000 Growth ETF	Reduced	69,761	-65	$24,897,700	−9.5%	14.73%
ISCV	iShares Morningstar Small-Cap Value ETF	Added	292,318	+1,383	$21,867,198	−4.0%	12.94%
IEFA	iShares Core MSCI EAFE ETF	Added	154,384	+3,019	$14,956,721	+2.3%	8.85%
IXN	iShares Global Tech ETF	Reduced	78,724	-3,669	$11,668,471	−2.0%	6.90%
DES	WisdomTree U.S. SmallCap Dividend Fund	Reduced	77,378	-983	$2,932,626	−8.0%	1.74%
EFAV	iShares MSCI EAFE Min Vol Factor ETF	Reduced	31,240	-61	$2,846,588	+3.7%	1.68%
AAPL	Apple Inc. Technology	Reduced	8,423	-46	$2,805,027	+14.5%	1.66%
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	Reduced	36,315	-2,076	$2,153,842	−6.0%	1.27%
SPY	Spdr S&P 500 ETF Trust	Reduced	2,074	-72	$1,581,694	−1.3%	0.94%
IUSG	iShares Core S&P U.S. Growth ETF	Reduced	8,140	-15	$1,577,125	+2.8%	0.93%
ISCG	iShares Morningstar Small-Cap Growth ETF	Reduced	23,298	-299	$1,425,348	−7.8%	0.84%
DVY	iShares Select Dividend ETF	Reduced	8,631	-61	$1,312,516	−3.4%	0.78%
IJS	iShares S&P Small-Cap 600 Value ETF	Held	8,581	0	$1,099,226	−6.3%	0.65%
VLO	Valero Energy Corp Energy	Reduced	2,718	-1,639	$1,053,523	−7.2%	0.62%
VZ	Verizon Communications Inc Communication Services	Added	19,540	+4,321	$896,299	+39.1%	0.53%
BMY	Bristol Myers Squibb Co Healthcare	Reduced	13,888	-850	$866,611	+2.0%	0.51%
CVX	Chevron Corp Energy	Reduced	4,165	-21	$850,534	+22.6%	0.50%
IJT	iShares S&P Small-Cap 600 Growth ETF	Held	4,940	0	$792,030	−10.2%	0.47%
EMN	Eastman Chemical Co Basic Materials	Added	12,073	+2,047	$782,813	+16.6%	0.46%
AGG	iShares Core U.S. Aggregate Bond ETF	Added	8,264	+24	$781,278	−4.2%	0.46%
UPS	United Parcel Service Inc Industrials	Reduced	7,907	-47	$738,830	−13.6%	0.44%
OKE	Oneok Inc Energy	Held	8,345	0	$711,578	−1.9%	0.42%
PM	Philip Morris International Inc. Consumer Defensive	Reduced	3,677	-747	$701,645	−12.3%	0.42%
ABBV	AbbVie Inc. Healthcare	Added	2,625	+3	$686,673	+4.1%	0.41%
OGE	Oge Energy Corp. Utilities	Reduced	14,669	-683	$666,265	−10.8%	0.39%
BMO	Bank Of Montreal Financial Services	Reduced	3,968	-1,022	$663,648	−24.7%	0.39%
GSK	GSK plc Healthcare	Reduced	13,618	-2,613	$655,979	−22.9%	0.39%
NWE	NorthWestern Energy Group, Inc. Utilities	Added	8,989	+49	$614,667	−4.0%	0.36%
VLY	Valley National Bancorp Financial Services	Reduced	48,674	-3,803	$614,265	−20.1%	0.36%
RCI	Rogers Communications Inc Communication Services	Added	19,786	+5,191	$609,408	+28.5%	0.36%
BX	Blackstone Inc. Financial Services	Added	5,429	+2,541	$608,536	+79.1%	0.36%
MU	Micron Technology Inc Technology	Held	569	0	$606,047	−7.7%	0.36%
CMCSA	Comcast Corp Communication Services	NEW	27,751	NEW	$603,861	NEW	0.36%
MMM	3M Co Industrials	Reduced	3,577	-1,174	$587,164	−23.7%	0.35%
IBM	International Business Machines Corp Technology	Reduced	2,658	-206	$584,573	−27.4%	0.35%
HRL	Hormel Foods Corp Consumer Defensive	NEW	27,136	NEW	$541,091	NEW	0.32%
CVS	CVS HEALTH Corp Healthcare	Reduced	6,314	-1,634	$541,046	−34.2%	0.32%
CLX	Clorox Co Consumer Defensive	NEW	6,639	NEW	$537,825	NEW	0.32%
MTB	M&T Bank Corp Financial Services	Held	2,410	0	$524,416	−8.6%	0.31%
PPL	PPL Corp Utilities	Reduced	15,884	-196	$522,424	−10.6%	0.31%
CNP	Centerpoint Energy Inc Utilities	Reduced	12,906	-237	$474,940	−17.9%	0.28%
CHRD	Chord Energy Corp Energy	Held	3,320	0	$445,112	+17.3%	0.26%
VICI	Vici Properties Inc. Real Estate	Reduced	17,413	-4,925	$399,976	−32.6%	0.24%
APO	Apollo Global Management, Inc. Financial Services	Added	3,400	+302	$394,604	+7.7%	0.23%
XNTK	State Street(R) SPDR(R) NYSE Technology ETF	Held	1,000	0	$382,190	−2.2%	0.23%
QQQ	Invesco Qqq Trust, Series 1	Held	516	0	$381,721	+0.5%	0.23%
CM	Canadian Imperial Bank Of Commerce Financial Services	Reduced	2,943	-1,010	$324,259	−28.7%	0.19%
TU	Telus Corp Communication Services	Added	37,753	+17,235	$316,747	+46.1%	0.19%

Showing the top 50 of 61 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.