Asset manager · Houston, TX
Vaughan Nelson Investment Management, L.P.
SEC-registered investment adviser · CRD 106975 · SEC 801-51795
At a glance
Vaughan Nelson Investment Management, L.P. is an SEC-registered investment adviser based in Houston, Texas, with $12.2 billion in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is investment companies, and it reports 170 individual clients. By Form ADV it is a asset manager, ranked 468th of 3,218 asset managers and 1,189th of 17,210 SEC-registered advisers by assets.
Main office 713-224-2545vaughannelson.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $12B
- Rank among asset managers
- #468 of 3,218
- Rank among all SEC RIAs
- #1,189 of 17,210
- Rank in Texas
- #45 of 1,081
- Individual clients
- 170
- High-net-worth clients
- 155
- Accounts
- 379
- Discretionary
- 100% of AUM
- Employees
- 53
- Advisory staff
- 26
- Offices
- 2
Owners and executives on its Form ADV
- Christopher D. WallisDirector, CEO & CIO
- David L. GiuntaDirector
- James T. OrfanosDirector
- Steven PsaledakisPresident
- Carlos GonzalezChief Compliance Officer
- Nathan E. SloanChief Operating Officer
- Eric N. WardDirector
- Susan K. DarshadManaging Director, Finance
Custody and brokerage
Custodian
Vaughan Nelson Investment Management, L.P.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Natixis Distribution, LLC.
- Natixis Distribution, LLC ↗CRD 34754
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 13 | $4.8B | 39% |
| Corporations or other businesses | 63 | $2.3B | 19% |
| Other investment advisers | 9 | $1.1B | 9% |
| Charitable organizations | 75 | $971M | 8% |
| Pension and profit sharing plans | 19 | $743M | 6% |
| State or municipal government entities | 13 | $628M | 5% |
| Pooled investment vehicles | 9 | $611M | 5% |
| Insurance companies | 8 | $559M | 5% |
| High-net-worth individuals | 155 | $461M | 4% |
| Individuals | 15 | $26M | <1% |
Private funds
Vaughan Nelson Investment Management, L.P. reports 1 private funds with $3M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Vaughan Nelson Investment Management, L.P. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗vaughannelson.com ↗
AtlasMembers
The full record on Vaughan Nelson Investment Management, L.P.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Vaughan Nelson Investment Management, L.P. manage?
Vaughan Nelson Investment Management, L.P. reports $12.2 billion in regulatory assets under management across 379 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Vaughan Nelson Investment Management, L.P.?
Vaughan Nelson Investment Management, L.P. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.
Who are Vaughan Nelson Investment Management, L.P.’s clients?
By assets, its largest client types are investment companies ($4.8 billion, 13 clients); corporations or other businesses ($2.3 billion, 63 clients); other investment advisers ($1.1 billion, 9 clients).
Does Vaughan Nelson Investment Management, L.P. manage private funds?
Yes. It reports 1 private funds with $3 million in gross assets, including other private funds.
Does Vaughan Nelson Investment Management, L.P. have any disciplinary history?
Vaughan Nelson Investment Management, L.P. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Vaughan Nelson Investment Management, L.P.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →