Vanguard Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$190,406,969
Total clients
199
26% high-net worth
Total advisors
5
of 5 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
40
Average account size
$956,819
About
Vanguard Capital provides discretionary investment management and integrated financial planning primarily to individual and high-net-worth clients, typically establishing relationships with a stated account minimum and householding related accounts for fee and service purposes. The firm also offers consulting on estate planning, insurance, real estate and annuities, and provides rollover guidance for retirement plan assets.
The firm bases portfolio construction on written client profiles and investment plans, emphasizing diversification, risk management and intermediate-to-long-term holding periods (generally one to three years), with periodic rebalancing at least annually. Vanguard Capital may employ tactical tools — including automated stop-loss orders and covered-call writing for qualifying clients — and evaluates securities with a focus on company management, cashflow potential and sector positioning.
Noteworthy characteristics include a mid-sized advisory team (five advisors) managing roughly $190 million for about 199 clients and a practice that manages only discretionary assets while including financial planning within advisory services and offering standalone, hourly consulting for non-portfolio engagements. The firm discloses receipt of institutional services from its recommended custodian and reports a prior FINRA disciplinary matter involving a former associated person related to leveraged/inverse ETF suitability and disclosure issues.
Client services
Portfolio management
Expertise
Active portfolio management
Retirement plans for business owners (SEP, solo 401k)
College savings (529s, UTMA, etc.)
Fee options
$200.00 per hour for non-portfolio management consulting services
Account minimum: $50,000
Main office location
Vanguard Capital
999 18 St Suite 3000
Denver CO 80202, United States
Number of offices
3
Most active in
Vanguard Capital has reported serving >5 clients in these states in the last 12 months.
Arizona · California · Colorado · Florida · Nevada · Tennessee · Utah
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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