Vanguard Group Inc

Registered investment adviser · Malvern, PA · CRD #105958

Form ADV data as of 2026-09-01

Regulatory assets

$11.09 trillion

Total accounts

228

Employees

1,702

Disclosure events

122

Firm details

Website: https://www.vanguardjobs.com
Telephone: 610-669-1000
SEC file number: 801-11953
Most recent Form ADV filing: 2026-08-21
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 8 disclosure questions answered Yes, covering 122 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
A court found involvement in a violation of investment-related statutes or regulations
A court dismissed an investment-related civil action under a settlement agreement

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$11.09 trillion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$11.09 trillion
Discretionary accounts	228
Non-discretionary accounts	0
Total accounts	228
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	1,702
Employees performing investment advisory functions (including research)	19
Employees who are registered representatives of a broker-dealer	267
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementOther

Advisory services offered

Portfolio management for investment companiesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companyInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Investment companies	228	$11.09 trillion