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VANGUARD CAPITAL MANAGEMENT, LLC

MALVERN, PA · CRD 338002 · IAPD ↗ · 610-669-1000

$8436.18BRegulatory AUM
235Advisory reps
235Employees
0Clients
n/aPlanning clients
0Private funds
0States
106Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

45
August 2026 — VANGUARD CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (104 -> 106).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2026 — VANGUARD CAPITAL MANAGEMENT, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
75
April 2026 — VANGUARD CAPITAL MANAGEMENT, LLC grew from 2 to 235 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
January 2026 — VANGUARD CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 18 (86 -> 104).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
85
December 2025 — VANGUARD CAPITAL MANAGEMENT, LLC (MALVERN, PA) is newly SEC-registered with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.