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Paladin Research Report for: Vanguard Personal Advisor Services (VPAS)

Vanguard

Paladin Transparency Index (PTI)

4.5

Data compiled from company, regulatory agency (SEC, FINRA), and third party websites. Did Not Disclose (DND) means Paladin could not find this information on the Internet. Advisory firms can submit updated information to Paladin Research. Paladin will update the OFA report if it can validate the information.

Types of Financial Services

  • Investment advice and services Planning advice and services

Registration & Licensing

  • SEC: 801-49601
  • CRD: 106715
  • IARD: 106715
  • Disclosures (SEC.gov): Disclosures

Contact Information

  • Email: DND
  • Telephone: 866-734-4531
  • Human Contact: Yes
  • Type of Contact: Email, phone

Minimums

  • Minimum Asset Requirement: $50,000
  • Minimum Fee: None
  • Free Offer(s): No

Combined Fees

  • Service Initiation Fees: None
  • Annual Fee: .05 to .30% depending on the size of your portfolio
  • Annual Third Party Fee(s): Yes
  • Examples of Third Parties: Can be: ETF's, Index Funds, Mutual Funds, Broker/Dealers

Scope of Business

  • Number of Users: DND (Source: ADV; as of 8/25/15)
  • Assets (Paid): $10.1 Billion (Source: ADV as of 8/25/15)
  • Assets (Free): None

Investment Services

  • Number of Portfolios: DND
  • Types of Investments: Primarily Vanguard funds and ETF's
  • Investment Managers: Vanguard

Additional Investment Services

  • Data Aggregation Services: No
  • Tax Loss Harvesting: DND
  • Rebalancing: Yes
  • Account Liquidity: 3-5 days
  • Investor Discretion: Some

Additional Information

  • Clearing & Custody: Vanguard
  • Mobile Application: Yes

Paladin Transparency Rating (PTI)

  • 4.5

Interview

  • None

Comments

  • http://www.adviserinfo.sec.gov/Iapd/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=253125

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