Here are answers to the most frequently asked questions. We love to field your questions, so please don’t hesitate to contact us with all of your inquiries.
What types of clients do you have?
We work with individuals and families across the country who value thoughtful counsel, clear communication, and long-term accountability. Many are retired or within five to ten years of retirement and are navigating the financial decisions that accompany that transition.
Our clients seek a direct relationship with an experienced portfolio management team—one built on integrity, honesty, and mutual respect. If you are looking for personalized wealth-management guidance and disciplined portfolio oversight, we invite you to schedule a conversation.
Why work with Vaughn Woods Financial Group?
At Vaughn Woods Financial Group, clients work directly with an experienced portfolio manager—not through a series of handoffs. That direct relationship supports clear communication, a deeper understanding of each client’s circumstances, and investment guidance tailored to their goals, income needs, tax considerations, and long-term priorities.
Our approach combines decades of experience, disciplined research, and a commitment to personal accountability. We work with individuals and families who value thoughtful portfolio management and an enduring advisory relationship built on trust.
What does Vaughn Woods Financial Group do?
aughn Woods Financial Group provides personalized portfolio management for individuals and families seeking a direct, long-term relationship with an experienced investment professional.
Clients work directly with the portfolio manager responsible for their relationship. Through ongoing conversations and a clear understanding of each client’s circumstances, we develop and manage investment strategies shaped by their goals, income needs, tax considerations, risk tolerance, and long-term priorities.
We are a relationship-driven firm built on experience, accountability, and personal attention. Our size allows us to remain accessible, responsive, and focused on the people and families we serve.
What is your core competency?
We specialize in direct, personalized portfolio management. Drawing on more than 40 years of investment experience, fundamental and technical research, and an understanding of changing economic conditions, we help clients organize their portfolios around real-world needs: growth, income, tax awareness, and long-term financial priorities.
Our approach remains intentionally personal. Every client has direct access to the portfolio manager overseeing their relationship, creating a level of communication and accountability that is central to how we work.
Is my account protected by the SIPC?
Yes! Accounts opened with Vaughn Woods Financial Group are protected by the SIPC. For additional security, Pershing also provides coverage in excess of SIPC limits, see the following link for details: http://www.pershing.com/strength_stability.html
SIPC provides account protection up to $500,000 in value, including $250,000 in cash awaiting reinvestment. SIPC provides protection for brokerage firms against losses should a SIPC member firm fail financially and become unable to meet obligations of its securities clients. More information about the protection of account assets through SIPC is available at
www.sipc.org
www.pershing.com
www.pershing.com/strength_stability.html
Who are Bolton Global Capital and Pershing LLC?
Bolton Global Capital is our broker-dealer. By law, we are required to “hang” our securities license with a broker-dealer who provides back-office support to our business. This includes paperwork processing, operations activities, compliance & legal oversight and licensing support. We have chosen Bolton Global Capital for their longstanding reputation of providing intimate support to high-quality portfolio-management companies like Vaughn Woods Financial Group.
Pershing LLC, a Bank of New York affiliate, is our clearing house and account custodian. Acting as our clearing house, Pershing processes trade requests and payout requests in your account. Pershing is also our account custodian. This means that securities inside your account are actually held in your name at Pershing. Pershing generates your monthly account statements and year-end tax statements.
Do I have to be located in San Diego to open an account?
No! Our clientele live from coast to coast. Contact us today for more information about opening an account from your home state.
Is there a minimum balance I must have to open an account?
No, though we work most effectively with clients who have at least $250,000 in investable assets. However, we understand the value of building long-term relationships with clients who might not have $250,000 now, but are working hard to have multiple times that amount at retirement. Therefore, we also offer financial planning, life insurance and annuity services. Thus, whatever your finances may be, we urge you to contact us today to schedule an appointment.
What types of accounts do you offer?
- Corporate
- Custodial
- Individual
- Individual – Transfer on Death
- Educational Savings
- Traditional IRA
- Roth IRA
- Simple IRA
- SEP IRA
- Joint Tenants with Rights of Survivorship
- Joint Tenants-in-Common
- Living Trusts
- Corporate Trustee
- 401(k)
- Life Insurance
- Annuities
…and more.
Have questions about which account is right for you? Ready to open an account?
Contact us today!
How often should I expect you to contact me?
We like to joke that some clients say, “Call me, that’s what I’m paying you for!” while others clients say, “Don’t call me, that’s what I’m paying you for!” Our lines of communication are always open and we will stay in touch as often, or as little, as you like.
For those who want to be in touch now, contact us!
What are the steps to opening an account?
First, we review your current portfolio, determine your financial objectives, assess your risk tolerance and develop an investment strategy for meeting your goals.
Secondly, we complete the proper new account forms for your review and signature.
Lastly, we begin the prudent management of your portfolio. We will remain in touch as often as you like to keep you abreast of your portfolio performance.
These are not the 1-2-3 steps you might see on other financial services websites. We do not want to treat you like a 1-2-3 client. We believe that the best portfolio management teams are the ones who take the time to get to know the background, needs and objectives of their clients.
If you’d like to learn more about becoming one of our clients, contact us today!
What is direct portfolio management?
Direct portfolio management is a solution for investors who seek a one-on-one relationship with their portfolio manager. Too often, investors limit themselves by working with a financial representative who passes investment decision making responsibilities on to a third-party money manager. Third third-party money managers have zero contact with clients and cannot consider a client’s unique goals and interests when investing.
Fortunately, we offer a solution known as direct portfolio management which puts an end to the days where a client feels marginalized by a financial representative who does not actually manage money. In a direct portfolio management relationship, clients work one-on-one with their actual portfolio manager. The portfolio manager, in turn, not only develops strategies unique to each client’s income, growth and tax-benefit needs, but counsels clients on how economic events may affect their specific investment strategy.
Contact us today to learn more!