Niva WealthLet’s talk

Carlos Gonzalez

Chief Compliance Officer at Vaughan Nelson Investment Management

Officer record from the firm’s Form ADVForm ADV filed 30 March 2026

Carlos Gonzalez is Chief Compliance Officer of Vaughan Nelson Investment Management, L.P., a Houston investment adviser.

Role at Vaughan Nelson Investment Management

Title on Schedule A
Chief Compliance Officer
Control
Carlos Gonzalez is a control person of Vaughan Nelson Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Carlos Gonzalez has held the filed role since March 2022.

The firm

Vaughan Nelson Investment Management, L.P.
Houston, TX

Form ADV filed 30 March 2026

$12.2B AUM379 clients26 advisers2 offices

Career on record

The IAPD individual lookup on 17 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Carlos Gonzalez is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
Carlos Gonzalez
CRD
2543429
Firm
Vaughan Nelson Investment Management, L.P.
Record basis
Form ADV officer listing
Firm bio
vaughannelson.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Vaughan Nelson lists Carlos Gonzalez as chief compliance officer. Official Vaughan Nelson team page

Education

Common questions

Where does Carlos Gonzalez work?

Carlos Gonzalez has been Chief Compliance Officer of Vaughan Nelson Investment Management, L.P. since March 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Leadership at Vaughan Nelson Investment Management

Sources

  1. IAPD individual lookup, CRD 2543429. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Vaughan Nelson Investment Management, L.P., filed 30 March 2026. Title, control and ownership bands.
  3. Vaughan Nelson Investment Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Carlos Gonzalez or Vaughan Nelson Investment Management, L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.