Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by David Vaughan Investments, LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
HOMETOWN COMMUNITY BANCORP, INC.Direct owner · Schedule AInterest in DAVID VAUGHAN INVESTMENTS, LLC
75%+
DVI CAPITAL CORP.Direct owner · Schedule AInterest in DAVID VAUGHAN INVESTMENTS, LLC
10% to < 25%
HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUSTIndirect owner · Schedule BInterest in HOMETOWN COMMUNITY BANCORP, INC.
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to David Vaughan Investments, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-07-20 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | LAWRENCE WILLIAMS IVELECTED MANAGER, CHAIRMAN, PRESIDENT & CEOIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER, CHAIRMAN, PRESIDENT & CEO12/2017 | Schedule APDF page 22 |
| 2 | DAVID JOHN VAUGHAN JRELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER09/2006 | Schedule APDF page 22 |
| 3 | JOHN VANNORDEN MCCLUREELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER01/2008 | Schedule APDF page 22 |
| 4 | BRIAN ANDREW CHRISTENSENELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER & SR VICE PRESIDENT & CHIEF INVESTMENT OFFICER09/2006 | Schedule APDF page 22 |
| 5 | PATRICK JOSEPH SMARJESSESENIOR VICE PRESIDENT OF RELATIONSHIP MANAGEMENTIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT OF RELATIONSHIP MANAGEMENT09/2006 | Schedule APDF page 22 |
| 6 | TODD MICHAEL SHERIDANVICE PRESIDENTIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | VICE PRESIDENT09/2006 | Schedule APDF page 22 |
| 7 | MICHAEL ALLEN PRICECHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARYIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF RISK MANAGEMENT & CORPORATE SECRETARY07/2014 | Schedule APDF page 22 |
| 8 | MICHAEL L DEWALTELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER04/2016 | Schedule APDF page 22 |
| 9 | DVI CAPITAL CORP.MEMBERDomestic entity | DAVID VAUGHAN INVESTMENTS, LLC | 10% to less than 25%Code B | Yes | MEMBER07/2017 | Schedule APDF page 22 |
| 10 | HOMETOWN COMMUNITY BANCORP, INC.MEMBERDomestic entity | DAVID VAUGHAN INVESTMENTS, LLC | 75% or moreCode E | Yes | MEMBER09/2017 | Schedule APDF page 22 |
| 11 | ANDREW ALAN HONEGGERELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER09/2017 | Schedule APDF page 22 |
| 12 | KEVIN D SCHOEPLEINELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER03/2018 | Schedule APDF page 22 |
| 13 | STEPHEN K HINRICHSSENIOR VICE PRESIDENT OF INVESTMENT RESEARCHIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | SENIOR VICE PRESIDENT OF INVESTMENT RESEARCH03/2018 | Schedule APDF page 22 |
| 14 | ELIZABETH W SALMONVICE PRESIDENT OF OPERATIONSIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | VICE PRESIDENT OF OPERATIONS06/2017 | Schedule APDF page 22 |
| 15 | DARRIN ATTIS AUTRYELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER03/2021 | Schedule APDF page 22 |
| 16 | ALFREDO ARMANDO RISICHIEF OPERATING OFFICERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER10/2023 | Schedule APDF page 22 |
| 17 | CHRISTOPHER CLARK SPEARSELECTED MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | ELECTED MANAGER03/2025 | Schedule APDF page 22 |
| 18 | STEPHANIE ANNE RICKETTSSENIOR RELATIONSHIP MANAGER & DIRECTOR OF CLIENT SERVICESIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | SENIOR RELATIONSHIP MANAGER & DIRECTOR OF CLIENT SERVICES03/2025 | Schedule APDF page 22 |
| 19 | JEFFREY JOHN HUIZENGADIRECTOR OF WEALTH STRATEGIESIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | DIRECTOR OF WEALTH STRATEGIES03/2025 | Schedule APDF page 22 |
| 20 | GLENN JAMES MAXEYDIRECTOR & SENIOR PORTFOLIO MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | DIRECTOR & SENIOR PORTFOLIO MANAGER03/2024 | Schedule APDF page 22 |
| 21 | MITCHELL A ZIPPAYDIRECTOR & SENIOR ACCOUNTING MANAGERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | Yes | DIRECTOR & SENIOR ACCOUNTING MANAGER03/2025 | Schedule APDF page 22 |
| 22 | ERIN L DUVALLCHIEF PEOPLE OFFICERIndividual | DAVID VAUGHAN INVESTMENTS, LLC | Less than 5%Code NA | No | CHIEF PEOPLE OFFICER01/2026 | Schedule APDF page 22 |
| 23 | HOMETOWN COMMUNITY BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN & TRUSTOWNERDomestic entity | HOMETOWN COMMUNITY BANCORP, INC. | 25% to less than 50%Code C | Yes | OWNER12/1999 | Schedule BPDF page 23 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 7/20/2026 10:55:11 AM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.