David Vaughan Investments, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 105990
· SEC file 801-12642
· Peoria, IL
· WWW.DVIINC.COM
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ADV data as of Jul 20, 2026
- Regulatory AUM
- $5.3B
- Discretionary
- $5.3B
- Clients
- 1,240
- Avg AUM / client
- $4.3M
- Accounts
- 4,288
- Employees
- 48
AUM over time
$1.2B
$5.3B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 20, 2026
Investments (13F portfolio — 234 positions, $4,730,288)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Broadcom Inc | avgo | $124,350 | 401,763 | 2.63% | 0.0% |
| 2 | Lam Research Corp | lrcx | $113,639 | 531,867 | 2.4% | 0.0% |
| 3 | Microsoft Corp | msft | $103,643 | 279,989 | 2.19% | 0.0% |
| 4 | Jp Morgan Chase & Co | jpm | $97,252 | 330,610 | 2.06% | 0.0% |
| 5 | Deere & Co | de | $85,696 | 152,131 | 1.81% | 0.0% |
| 6 | Entergy Corp | etr | $79,169 | 704,598 | 1.67% | 0.0% |
| 7 | Johnson & Johnson | jnj | $75,806 | 310,122 | 1.6% | 0.0% |
| 8 | Abbvie Inc | abbv | $72,341 | 332,617 | 1.53% | 0.0% |
| 9 | Alphabet Inc Cl A | googl | $70,146 | 243,935 | 1.48% | 0.0% |
| 10 | Cisco Systems Inc | csco | $69,910 | 901,020 | 1.48% | 0.0% |
| 11 | Conocophillips | cop | $68,989 | 522,643 | 1.46% | 0.0% |
| 12 | Williams Cos Inc | wmb | $68,791 | 945,185 | 1.45% | 0.0% |
| 13 | American Express Co | axp | $68,734 | 227,236 | 1.45% | 0.0% |
| 14 | Goldman Sachs Group Inc | gs | $67,754 | 80,089 | 1.43% | 0.0% |
| 15 | Exxon Mobil Corporation | xom | $67,271 | 396,503 | 1.42% | 0.0% |
| 16 | Chevron Corporation | cvx | $67,174 | 324,669 | 1.42% | 0.0% |
| 17 | Nextera Energy Inc | nee | $65,091 | 700,804 | 1.38% | 0.0% |
| 18 | Eaton Corporation Plc F | etn | $63,414 | 177,297 | 1.34% | 0.0% |
| 19 | American Electric Power | aep | $63,092 | 481,323 | 1.33% | 0.0% |
| 20 | At&T Inc | t | $60,520 | 2,087,624 | 1.28% | 0.0% |
| 21 | Nisource Inc | ni | $60,127 | 1,288,627 | 1.27% | 0.0% |
| 22 | Regions Financial Corp | rf | $58,780 | 2,250,397 | 1.24% | 0.0% |
| 23 | Cheniere Energy Inc | lng | $58,144 | 204,906 | 1.23% | 0.0% |
| 24 | Wec Energy Group Inc | wec | $57,609 | 497,618 | 1.22% | 0.0% |
| 25 | Xcel Energy | xel | $57,282 | 721,070 | 1.21% | 0.0% |
Top 25 of 234 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 443 | $211M | 3.95% |
| High net worth individuals | 721 | $3.7B | 69.3% |
| Banking or thrift institutions | Fewer than 5 clients | $561M | 10.5% |
| Pension and profit sharing plans | 40 | $318M | 5.97% |
| Charitable organizations | 24 | $348M | 6.53% |
| Insurance companies | Fewer than 5 clients | $151M | 2.83% |
| Corporations and other businesses | 12 | $45.8M | 0.86% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Visionpoint Eye Center Profit Sharing Plan Visionpoint Eye Center, Pllc | 2024 | |
| Leydig, Voit & Mayer, Ltd. 401(k) And Profit Sharing Plan Leydig, Voit & Mayer, Ltd. | 2024 | |
| Illinois Operative Plasterers & Cement Masons Annuity Fund Joint Board Of Trustees Of The Illinois Operative Plasterers & Cement | 2024 | |
| Morton Community Bank 401(k) Retirement Plan Morton Community Bank | 2024 | |
| Samaritan Ministries Planning For Future Success 401(k) Samaritan Ministries International | 2024 | |
| Connor Co. Employees' Savings And Profit Sharing 401(k) Plan & Trust Connor Co. | 2024 | |
| Roanoke Concrete Products Co. Profit Sharing Plan Roanoke Concrete Products Co. | 2024 |
People (34)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian A Christensen | Elected Manager & Sr Vice President & Chief Investment Officer | Mar 1998 (28y) | Less than 5% | |
| Lawrence Williams Iv | Elected Manager, Chairman, President & Ceo | Mar 1998 (28y) | Less than 5% | |
| Stephen K Hinrichs | Vice President Of Investment Research | Jul 1998 (28y) | Less than 5% | |
| Patrick Joseph Smarjesse | Senior Vice President | Dec 1998 (28y) | Less than 5% | |
| Todd Michael Sheridan | Vice President | Mar 2000 (26y) | Less than 5% | |
| Vaughan Jr, David, John | Elected Manager | Sep 2006 (20y) | Less than 5% | |
| Mcclure, John, Vannorden | Elected Manager | Jan 2008 (19y) | Less than 5% | |
| Pillman, Virginia, Johnson | Elected Manager | Jun 2011 (15y) | Less than 5% | |
| Baum, Wayne, E | Elected Manager | Jun 2012 (14y) | Less than 5% | |
| Price, Michael, Allen | Chief Compliance Officer, Vice President Of Risk Management & Corporate Secretary | Jul 2014 (12y) | Less than 5% | |
| Dewalt, Michael, L | Elected Manager | Apr 2016 (10y) | Less than 5% | |
| Darrin Attis Autry | Elected Manager | CFP | Mar 2017 (9y) | Less than 5% |
| Salmon, Elizabeth, W | Vice President Of Operations | Jun 2017 (9y) | Less than 5% | |
| Honegger, Andrew, Alan | Elected Manager | Sep 2017 (9y) | Less than 5% | |
| Schoeplein, Kevin, D | Elected Manager | Mar 2018 (8y) | Less than 5% | |
| Risi, Alfredo, Armando | Chief Operating Officer | Oct 2023 (3y) | Less than 5% | |
| Deanna Marie Baele | Registered representative | CFP | May 2002 (24y) | |
| Andrew James Lister | Registered representative | CFA | Apr 2006 (20y) | |
| Stephanie Anne Ricketts | Registered representative | Nov 2007 (19y) | ||
| Dalton Michael Mellon | Registered representative | Aug 2013 (13y) | ||
| Meghan J. Jackson | Registered representative | Feb 2014 (12y) | ||
| Jeffrey John Huizenga | Registered representative | CFP Chartered Financial Consultant | Nov 2014 (12y) | |
| Johnathan Pierce Timko | Registered representative | CFP | Nov 2016 (10y) | |
| Glenn James Maxey | Registered representative | CFA | Nov 2017 (9y) | |
| Michael Martin Flaherty | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Zachery Morgenstern | Registered representative | CFP | Feb 2022 (4y) | |
| Michael E Armistead | Registered representative | CFP | Aug 2022 (4y) | |
| Alexis Laure Morey | Registered representative | Dec 2023 (3y) | ||
| Christopher Kent | Registered representative | Jan 2024 (3y) | ||
| Shane Michael Higgins | Registered representative | CFP | Sep 2024 (2y) | |
| Devin James Shaffer | Registered representative | Feb 2025 (1y) | ||
| Jade Marie Laverdiere | Registered representative | Aug 2025 (1y) | ||
| Ryan David Sewell | Registered representative | Dec 2025 (1y) | ||
| Cody John Behrens | Registered representative | Chartered Financial Consultant CFA | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hometown Community Bancorp, Inc. | Member | Sep 2017 | A | 75% or more |
| Dvi Capital Corp. | Member | Jul 2017 | A | 10% – 25% |
| Hometown Community Bancorp, Inc. Employee Stock Ownership Plan & Trust | Owner | Dec 1999 | B | ≈ 18.75% – 50% via Hometown Community Bancorp, Inc. |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Hometown Community Bancorp, Inc. Employee Stock Ownership Plan & Trust: 25% – 50% of Hometown Community Bancorp, Inc. × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Visionpoint Eye Center Profit Sharing Plan | Visionpoint Eye Center, Pllc | 139 | $19.6M | 01/01/2024 |
| Leydig, Voit & Mayer, Ltd. 401(k) And Profit Sharing Plan | Leydig, Voit & Mayer, Ltd. | 151 | $149M | 01/01/2024 |
| Illinois Operative Plasterers & Cement Masons Annuity Fund | Joint Board Of Trustees Of The Illinois Operative Plasterers & Cement | 1,416 | $35.9M | 01/01/2024 |
| Morton Community Bank 401(k) Retirement Plan | Morton Community Bank | 613 | $58.2M | 01/01/2024 |
| Samaritan Ministries Planning For Future Success 401(k) | Samaritan Ministries International | 383 | $11.9M | 01/01/2024 |
| Connor Co. Employees' Savings And Profit Sharing 401(k) Plan & Trust | Connor Co. | 257 | $65.5M | 01/01/2024 |
| Roanoke Concrete Products Co. Profit Sharing Plan | Roanoke Concrete Products Co. | 103 | $8.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (2 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/20/2026 | 1.15 MB | View · PDF · Source ↗ |
| Form ADV (full filing) | 03/30/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $4.5B (85% of AUM) Jul 2026
- J.P. Morgan $258M (10% of AUM) Jun 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 20, 2026.
View current Form ADV (SEC/IAPD) ↗