VANGUARD ADVISERS, INC. of MALVERN, PA is an SEC-registered investment adviser (CRD 106715). Regulatory assets under management: $344.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 69 people.
| Name | Role | Location |
|---|---|---|
| Matthew Clark Brancato | DIRECTOR | — |
| Matthew John Benchener | DIRECTOR | — |
| John Edmund Bisordi | DIRECTOR AND GENERAL COUNSEL | — |
| David Bruce Petty | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| Marc Christopher Stewart | CHIEF COMPLIANCE OFFICER | — |
| Amma Acheampomaa Boateng | DIRECTOR | — |
| John Wesley Bendl | DIRECTOR | — |
| Joanna Michelle Rotenberg | CHAIR & DIRECTOR | — |
| John Edward Schadl | DIRECTOR | — |
| Michael Thomas Rollings | DIRECTOR | — |
| ROGERS COURTNEY EDWARD | PRINCIPAL | — |
| BARTON ROBERT GREGORY | DIRECTOR; DIRECTOR AND SECRETARY | — |
| BRENNAN JOHN JOSEPH | CHAIRMAN AND CEO; CHAIRMAN, PRESIDENT AND CEO; CHAIRMAN, PRESIDENT & CEO (+1 more) | — |
| GATELY JAMES HENRY | DIRECTOR | — |
| MCNABB FREDERICK WILLIAM | CHAIRMAN, DIRECTOR, PRESIDENT AND CEO; CHAIRMAN, PRESIDENT AND CEO; DIRECTOR (+1 more) | — |
| MILLER MICHAEL SIDNEY | DIRECTOR | — |
| PACKARD RALPH KEMPTON | DIRECTOR | — |
| SAUTER GEORGE UPHAM | DIRECTOR | — |
| BUCKLEY MORTIMER JOSEPH | DIRECTOR; PRESIDENT AND CEO | — |
| MATECKI MARYBETH CALLAHAN | CHIEF COMPLIANCE OFFICER | — |
| STAM HEIDI | DIRECTOR; DIRECTOR AND GENERAL COUNSEL; DIRECTOR & GENERAL COUNSEL | — |
| CARPENTER RICHARD DAVID | PRINCIPAL AND TREASURER | — |
| SCALVINO PAULINE CATHERINE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND SECRETARY; SECRETARY | — |
| ROLLINGS MICHAEL THOMAS | DIRECTOR | — |
| REED STEVEN W | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-29 | regulatory | ALLEGED VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER ARISING FROM VAI'S ALLEGED MISSTATEMENTS AND THE RELATED FAILURE TO ADEQUATELY DISCLOSE CONFLICTS OF INTEREST IN CONNECTION WITH RECEIPT BY ITS PERSONAL ADVISOR SERVICES ADVISORS OF B… | Final | $19.5M |
| 2017-10-10 | regulatory | FROM FEBRUARY 2017 UNTIL DECEMBER 2017, VANGUARD ADVISERS, INC., DUE TO ADMINISTRATIVE ERROR, EMPLOYED AN INVESTMENT ADVISER REPRESENTATIVE WHO, ALTHOUGH REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE IN ARIZONA, WAS NOT REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE IN PENNSYLVANIA. | Final | $23K |
| 2016-03-06 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN AN ADEQUATE SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, TO ENSURE THAT IT DISCLOSE UNSATISFIED JUDGMENTS AND LIENS OF REGISTERED REPRESENTATIVES… | Final | $350K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |
| — | criminal | — | — | — |