SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Vaughan Nelson Investment Management, L.P.
Houston, TX
CRD 106975
Firm filing updated March 30, 2026 ·
- $12.2BAssets
- 26Advisory staff
- 379Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals155
- Charities75
- Corporations or other businesses63
- Pension and profit sharing plans19
- Individuals15
- and 5 more52
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 15 | $25.8 million |
| High net worth individuals | 155 | $461.2 million |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Investment companies | 13 | $4.8 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 9 | $610.6 million |
| Pension and profit sharing plans (but not the plan participants or government pension 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 advisors | 9 | $1.1 billion |
| Insurance companies | 8 | $559.1 million |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | 63 | $2.3 billion |
| Other: "WRAP WITH TRADING RESP" | Fewer than 5 clients | $0 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$12.2 billion
- Accounts379
- Discretionary$12.2 billion · 378 accounts
- Non-discretionary$5.7 million · 1 accounts
People
- Employees53
- Advisory staff26
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
4 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 106975, SEC file 801-51795.
- Registered with the SEC as an investment advisor (status date on record: April 25, 1996).
Is Vaughan Nelson Investment Management, L.P. a fiduciary?
Short answer: Vaughan Nelson Investment Management, L.P.
More detail
is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.