Vaughan Nelson Investment Management, L.P.

Registered investment adviser · Houston, TX · CRD #106975

Form ADV data as of 2026-09-01

Regulatory assets

$12.24 billion

Total accounts

379

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/vaughan-nelson
Telephone: 713-224-2545
SEC file number: 801-51795
Most recent Form ADV filing: 2026-03-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Convicted of or pled guilty/no contest to a felony (past 10 years)
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$12.24 billion
Non-discretionary regulatory assets under management	$5.7 million
Total regulatory assets under management	$12.24 billion
Discretionary accounts	378
Non-discretionary accounts	1
Total accounts	379
Regulatory assets under management attributable to non-U.S. persons	$2.29 billion

People

Total employees (excluding clerical)	53
Employees performing investment advisory functions (including research)	26
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	7
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	4

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementPerformance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	15	$25.8 million
High net worth individuals	155	$461.2 million
Investment companies	13	$4.82 billion
Pooled investment vehicles (other than investment companies and BDCs)	9	$610.6 million
Pension and profit sharing plans (not the participants or government plans)	19	$743.1 million
Charitable organizations	75	$971.2 million
State or municipal government entities (including government pension plans)	13	$628.5 million
Other investment advisers	9	$1.12 billion
Insurance companies	8	$559.1 million
Corporations or other businesses not listed above	63	$2.30 billion