Alan Cummings

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CRD#: 4883140

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alan Cummings, who also goes by Alan Keith Cummings, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 2017. Alan had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan Keith Cummings

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am the CTO of Just Invest Systems Inc, which is a software firm associated with JustInvest, LLC. The activity is developing software used in support of JustInvest, LLC operations.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 12, 2017 - July 17, 2024

VANGUARD PERSONALIZED INDEXING MANAGEMENT

RIA

CRD#: 285366

BERKELEY, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANGUARD PERSONALIZED INDEXING MANAGEMENT

CRD#: 285366 / SEC#: 801-114487

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

California

Registered Investment Advisory firm - (6/14/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/15/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/2017

Uniform Investment Adviser Law Examination

Current Firm

VANGUARD PERSONALIZED INDEXING MANAGEMENT

CRD#: 285366 / SEC#: 801-114487

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

California

Registered Investment Advisory firm - (6/14/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/15/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2019 Terminated)

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Contact information

Main Address

1611 Telegraph Ave., Suite 1100, Oakland, CA 94612

Mailing Address

100 Vanguard Blvd., Malvern, PA 19355

Phone number

(844) 317-5190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,864
AUM (Assets Under Management)	$ 7,259,990,002

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Alan Cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD PERSONALIZED INDEXING MANAGEMENT

Primary Firm SEC Registration

VANGUARD PERSONALIZED INDEXING MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2017

Current Firm

VANGUARD PERSONALIZED INDEXING MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANGUARD PERSONALIZED INDEXING MANAGEMENT

TRUST BUT VERIFY

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