Nicolas Alejandro Rocha
Investment adviser representative at Vanguard Advisers, Inc.
11 yearsExperience
2 statesRegistered in
$344.6BFirm assets
31 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
11 years in the industry.
- Vanguard Advisers, Inc.Nov 2024 to now
- The Vanguard Group, Inc.Jul 2024 to now
- Self-employedMar 2024 to now
- RandstadApr 2024 to Jun 2024
- UnemployedNov 2022 to Feb 2024
- Affiliated DistributorsJul 2019 to Oct 2022
- Wasmer, Schroeder & Company, Inc.Sep 2015 to Apr 2019
Exams passed
- Series 65 · Uniform Investment Adviser Law2014
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (PA, TX).
Vanguard Advisers, Inc.
$344.6BAssets managed
791,528Clients
2,464Advisers
31 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5622610
- Firm CRD
- 106715