{
  "crd_number": 106975,
  "slug": "vaughan-nelson-investment-management-l-p-houston-tx-106975",
  "primary_business_name": "VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.",
  "legal_name": "VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.",
  "dbas": [
    "VAUGHAN NELSON",
    "VNIM"
  ],
  "city": "Houston",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "26420",
  "metro": {
    "cbsa_code": "26420",
    "common_name": "Houston",
    "msa_name": "Houston-Pasadena-The Woodlands, TX",
    "path": "/advisors/tx/houston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1996-04-25",
  "years_registered": 30,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 12241335106.0,
  "raum_discretionary": 12235627305.0,
  "raum_non_discretionary": 5707801.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 53,
  "advisory_employees": 26,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0,
      "description": "WRAP WITH TRADING RESP",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 971248560.0,
      "count": 75
    },
    "individuals": {
      "raum": 25756560.0,
      "count": 15
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 628484226.0,
      "count": 13
    },
    "insurance_companies": {
      "raum": 559111582.0,
      "count": 8
    },
    "investment_companies": {
      "raum": 4824380373.0,
      "count": 13
    },
    "pension_profit_sharing": {
      "raum": 743081621.0,
      "count": 19
    },
    "other_investment_advisers": {
      "raum": 1121248756.0,
      "count": 9
    },
    "high_net_worth_individuals": {
      "raum": 461168098.0,
      "count": 155
    },
    "pooled_investment_vehicles": {
      "raum": 610635531.0,
      "count": 9
    },
    "corporations_other_businesses": {
      "raum": 2296219799.0,
      "count": 63
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/VAUGHAN-NELSON",
    "https://soundcloud.com/user-15263885",
    "https://substack.com/@adamrichcaf",
    "https://twitter.com/CWALLISVN",
    "https://twitter.com/DALFFVN",
    "https://twitter.com/SWEBERVN",
    "https://twitter.com/VAUGHAN_NELSON",
    "https://twitter.com/VaughanNelsonIM",
    "https://vaughannelson.com",
    "https://x.com/AdamRich_CAF"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106975",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "HOUSTON",
  "url": "https://advisorcensus.com/firm/vaughan-nelson-investment-management-l-p-houston-tx-106975",
  "display_name": "Vaughan Nelson Investment Management, L.P.",
  "summary": "Vaughan Nelson Investment Management, L.P. is an SEC-registered investment advisory firm in Houston, TX, registered since 1996, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Vaughan Nelson Investment Management, L.P. (CRD 106975): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Vaughan Nelson Investment Management, L.P. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Vaughan Nelson Investment Management, L.P. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Vaughan Nelson Investment Management, L.P. located?",
      "a": "Vaughan Nelson Investment Management, L.P.'s principal office is in Houston, TX, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Vaughan Nelson Investment Management, L.P. registered with the SEC or a state?",
      "a": "Vaughan Nelson Investment Management, L.P. is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 106975."
    },
    {
      "q": "How much does Vaughan Nelson Investment Management, L.P. manage?",
      "a": "Vaughan Nelson Investment Management, L.P. reports $12,241,335,106 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Vaughan Nelson Investment Management, L.P.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Vaughan Nelson Investment Management, L.P.: Regulatory assets under management: $13,190,123,419 in the October 2021 data and $12,241,335,106 in the October 2026 data, down 7%. Total employees: 42 in October 2021 and 53 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Vaughan Nelson Investment Management, L.P. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (155); charitable organizations (75); corporations or other businesses not listed above (63)."
    },
    {
      "q": "Does Vaughan Nelson Investment Management, L.P. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years), 11.C(2) (SEC or CFTC finding of a violation), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106975"
    },
    {
      "q": "What changed in Vaughan Nelson Investment Management, L.P.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 22 to 26. Regulatory assets under management went from $15,867,901,203 to $12,241,335,106 (-23%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 13190123419.0,
      "total_employees": 42,
      "filing_date": "2021-07-15"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 14199909823.0,
      "total_employees": 50,
      "filing_date": "2022-09-26"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 12343621752.0,
      "total_employees": 51,
      "filing_date": "2023-05-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 14702325186.0,
      "total_employees": 47,
      "filing_date": "2024-06-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 15867901203.0,
      "total_employees": 47,
      "filing_date": "2025-03-26"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 12241335106.0,
      "total_employees": 53,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 22 to 26.",
        "Regulatory assets under management went from $15,867,901,203 to $12,241,335,106 (-23%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/vaughan-nelson-investment-management-l-p-houston-tx-106975.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 15,
      "fewer_than_5": false,
      "raum": 25756560.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 155,
      "fewer_than_5": false,
      "raum": 461168098.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 13,
      "fewer_than_5": false,
      "raum": 4824380373.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 610635531.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 19,
      "fewer_than_5": false,
      "raum": 743081621.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 75,
      "fewer_than_5": false,
      "raum": 971248560.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 13,
      "fewer_than_5": false,
      "raum": 628484226.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 9,
      "fewer_than_5": false,
      "raum": 1121248756.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 8,
      "fewer_than_5": false,
      "raum": 559111582.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 63,
      "fewer_than_5": false,
      "raum": 2296219799.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106975",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}