THE VANGUARD GROUP, INC. of MALVERN, PA is an SEC-registered investment adviser (CRD 105958). Regulatory assets under management: $11.1T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Charities, Corporations.
Showing 25 of 108 people.
| Name | Role | Location |
|---|---|---|
| John Murphy | DIRECTOR | Beaver Falls, PA |
| Thomas A Anthony | DIRECTOR | Vestavia, AL |
| James Mark | MANAGING DIRECTOR | Vancouver, A1 |
| Andre Francois Perold | DIRECTOR | — |
| Matthew John Benchener | MANAGING DIRECTOR | — |
| Amma Acheampomaa Boateng | MANAGING DIRECTOR | — |
| John Wesley Bendl | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| Peter Frederick Volanakis | DIRECTOR | — |
| Christopher Davis Mcisaac | MANAGING DIRECTOR | — |
| Scott Charles Malpass | DIRECTOR | — |
| Mark Loughridge | LEAD INDEPENDENT DIRECTOR AND CHAIRMAN OF THE BOARD | — |
| John Mark James | MANAGING DIRECTOR | — |
| Sarah Bloom Raskin | DIRECTOR | — |
| Lauren Marie Valente | MANAGING DIRECTOR | — |
| Gregory Davis | MANAGING DIRECTOR, PRESIDENT, DIRECTOR AND CHIEF INVESTMENT OFFICER | New York, NY |
| Joseph Patrick Brennan | MANAGING DIRECTOR AND CHIEF RISK OFFICER | — |
| David Anthony Thomas | DIRECTOR | — |
| Tara Lynn Bunch | DIRECTOR | — |
| Nitin Tandon | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | — |
| Jacqueline Mary Angell | CHIEF COMPLIANCE OFFICER | — |
| Grant Fergus Reid | DIRECTOR | — |
| Lubos Pastor | DIRECTOR | — |
| Salim Ramji | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Jon Nicholas Couture | MANAGING DIRECTOR | — |
| Joanna Michelle Rotenberg | MANAGING DIRECTOR | — |
Showing 10 of 67 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-07-08 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE ("FSS") CLAIMED THAT ON DECEMBER 10, 2021, THE VANGUARD GROUP, INC. ("VGI") ENGAGED IN THE SALE OF ONE SOUTH KOREAN LISTED SECURITY WITHOUT CORRESPONDIG OWNERSHIP OF THE POSITION, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Pending | — |
| 2025-12-10 | regulatory | ON DECEMBER 10, 2025, THE MARYLAND SECURITIES COMMISSIONER ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED MARYLAND SECURITIES ACT SECTION 11-301(2), BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING THE INVESTMENT… | Final | $166.7M |
| 2025-12-04 | regulatory | ON DECEMBER 4, 2025, THE OKLAHOMA DEPARTMENT OF SECURITIES ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED SECTION 1-501 OF THE OKLAHOMA UNIFORM SECURITIES ACT OF 2004, BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWE… | Final | $166.7M |
| 2025-12-03 | regulatory | ON DECEMBER 3, 2025, THE STATE OF LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED R.S. 51:712(A)(2) BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING THE INVESTMENT MINIMU… | Final | $166.7M |
| 2025-11-25 | regulatory | ON NOVEMBER 25, 2025, THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED SECTION 517.301(1)(A)2., FLORIDA STATUTES, BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING… | Final | $166.7M |
| 2025-11-07 | regulatory | ON NOVEMBER 7, 2025, THE STATE OF NORTH CAROLINA, DEPARTMENT OF THE SECRETARY OF STATE, SECURITIES DIVISION ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED N.C.G.S. CHAPTER ?78A, BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS… | Final | $166.7M |
| 2025-10-23 | regulatory | ON OCTOBER 23, 2025, THE ARIZONA CORPORATION COMMISSION ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED A.R.S. ? 44-1991(A)(2), BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING THE INVESTMENT MINIMUM OF THE INSTIT… | Final | $166.7M |
| 2025-09-19 | regulatory | ON SEPTEMBER 19, 2025, THE STATE OF NORTH DAKOTA, INSURANCE & SECURITIES DEPARTMENT ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED N.D.C.C. ? 10-04-15(2)(B), BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING THE I… | Final | $166.7M |
| 2025-09-17 | regulatory | ON SEPTEMBER 17, 2025, THE ILLINOIS SECRETARY OF STATE, SECURITIES DEPARTMENT ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED 815 ILCS 5/12.G, BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS FROM LOWERING THE INVESTMENT MINIMU… | Final | $166.7M |
| 2025-09-16 | regulatory | ON SEPTEMBER 16, 2025, THE ASSISTANT COMMISSIONER, SECURITIES DIVISION OF THE KANSAS DEPARTMENT OF INSURANCE ISSUED A SETTLED CONSENT ORDER IN WHICH IT FOUND THAT (I) THE VANGUARD GROUP ("VGI") VIOLATED K.S.A. 17-12A501(2), BY FAILING TO DISCLOSE THE POTENTIAL FOR HIGHER CAPITAL GAINS DISTRIBUTIONS… | Final | $166.7M |