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Vaughan Nelson Investment Management

SEC-registered adviser since 1996Houston, TXCRD 106975

$12.2B
AUM
379
Clients
See fees
Fee
26
Advisory staff

From Form ADV filed 30 March 2026 · data retrieved 15 October 2026SEC record

Vaughan Nelson Investment Management is an investment adviser headquartered in Houston, Texas, and registered with the SEC since 1996. Its clients include investment companies, corporations and other businesses, and other investment advisers. High-net-worth individuals account for 4% of its regulatory assets under management.

Its services include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions. Fee arrangements include a percentage of assets under management and performance-based fees. Natixis Investment Managers, LLC owns 75% or more of Vaughan Nelson Investment Management.

Clients

Vaughan Nelson Investment Management serves 379 clients, 155 of them high-net-worth individuals. The average client has about $32 million with the firm, and high-net-worth clients hold 4% of its $12.2 billion in assets.

Regulatory assets by client type
  • High-net-worth individuals155 clients4%
  • Investment companies13 clients39%
  • Pooled investment vehicles9 clients5%
  • Pension and profit-sharing plans19 clients6%
  • Charitable organizations75 clients8%
  • OtherState or municipal government entities, Other investment advisers, Insurance companies, Corporations and other businesses, Individuals38%
Show client breakdown
Individuals (other than HNW)
Clients
15
Regulatory AUM
$25,756,560
Share
0.2%
Avg. per client
$1.72M
High-net-worth individuals
Clients
155
Regulatory AUM
$461,168,098
Share
3.8%
Avg. per client
$2.98M
Investment companies
Clients
13
Regulatory AUM
$4,824,380,373
Share
39.4%
Avg. per client
$371.1M
Pooled investment vehicles
Clients
9
Regulatory AUM
$610,635,531
Share
5.0%
Avg. per client
$67.8M
Pension and profit-sharing plans
Clients
19
Regulatory AUM
$743,081,621
Share
6.1%
Avg. per client
$39.1M
Charitable organizations
Clients
75
Regulatory AUM
$971,248,560
Share
7.9%
Avg. per client
$12.9M
State or municipal government entities
Clients
13
Regulatory AUM
$628,484,226
Share
5.1%
Avg. per client
$48.3M
Other investment advisers
Clients
9
Regulatory AUM
$1,121,248,756
Share
9.2%
Avg. per client
$124.6M
Insurance companies
Clients
8
Regulatory AUM
$559,111,582
Share
4.6%
Avg. per client
$69.9M
Corporations and other businesses
Clients
63
Regulatory AUM
$2,296,219,799
Share
18.8%
Avg. per client
$36.4M

Total

Clients
379
Regulatory AUM
$12,241,335,106
Share
100%
Avg. per client
$32.3M

What it does

Vaughan Nelson Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions. It is paid through a percentage of assets and performance-based fees.

Vaughan Nelson Investment Management advises 1 private funds.

Nearly all assets ($12.24B across 378 accounts) are managed with discretion; $5.71M across 1 account is not. 7% of clients are outside the U.S., and 35 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end
  • Stocks88%
  • Bonds10%
    • U.S. government and agency bonds6%
    • Investment grade corporate bonds4%
  • Cash2%

Custodians

Vaughan Nelson Investment Management does not have custody of client assets.

Managed account assets by custodian
  • All other custodians$12.24B100%

Ownership and leadership

Natixis Investment Managers, LLC owns 75% or more of Vaughan Nelson Investment Management.

Who owns the firm
Vaughan Nelson Investment Management, L.P.· the adviser

  • Natixis Investment Managers, LLC

    Control person · since January 2024

    Owns 75% or more of Vaughan Nelson Investment Management, L.P.

Leadership

  • Steven Psaledakis
    President
  • Nathan Sloan
    Chief Operating Officer
  • Carlos Gonzalez
    Chief Compliance Officer
  • Susan Darshad
    Managing Director, Finance
  • David Giunta
    Director
  • James Orfanos
    Director
  • Christopher Wallis
    Director, CEO & CIO
  • Eric Ward
    Director

Staff

  • 53 employees
  • 26 in advisory functions
  • 7 state-registered reps
  • 4 soliciting firms

Reported holdings

Vaughan Nelson Investment Management’s reported 13F holdings total $11.31B across 208 positions, and the ten largest make up 20.0% of it.

$11.31B
Reported 13F value
208
Positions
20.0%
In the 10 largest
+13.6%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. Nvidia Corp.3.0%
  2. Eli Lilly & CO2.5%
  3. Alphabet Inc.-cl A2.5%
  4. Taiwan Semiconductor-sp ADR · ADR2.0%
  5. Apple Inc.1.9%
  6. Monolithic Power Systems Inc.1.8%
  7. iShares Russell 2000 Value Index Fund · Exchange Traded Funds1.7%
  8. Cummins Inc.1.6%
  9. Nucor Corp.1.5%
  10. Amazon.com Inc.1.5%

Together, the ten largest are 20.0% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 16 July 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $11.31B is not its $12.24B in regulatory assets and does not represent any individual client's portfolio.

Fees

Vaughan Nelson Investment Management is paid through a percentage of assets under management and performance-based fees.

Vaughan Nelson Investment Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, Vaughan Nelson Investment Management has 1 office, with 2 listed addresses across 2 states.

Listed office addresses by state

Texas · 1 listed address

  • 600 Travis, Suite 3800, HoustonHQ

Other business names

Vaughan Nelson Investment Management has reported 2 other business names to the SEC.

  • Vaughan Nelson
  • Vnim

Registration details

Legal name
Vaughan Nelson Investment Management, L.P.
Headquarters
600 Travis, Suite 3800, Houston, TX 77002-3071
Phone
713-224-2545
Website
www.vaughannelson.com
SEC file
801-51795
Structure
Delaware limited partnership
Fiscal year end
December

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. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does Vaughan Nelson Investment Management have?

Vaughan Nelson Investment Management has 379 clients and manages $12.2 billion for them, as of March 2026. They include 155 high-net-worth individuals, 75 charitable organizations and 63 corporations and other businesses.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026

What services does Vaughan Nelson Investment Management offer?

Vaughan Nelson Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

How many financial advisors does Vaughan Nelson Investment Management have?

Vaughan Nelson Investment Management has 7 investment adviser representatives registered with state securities authorities, out of 53 employees, and 26 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Vaughan Nelson Investment Management invest in?

At the end of its last fiscal year, Vaughan Nelson Investment Management’s separately managed accounts held 88% exchange-traded equities, 6% U.S. government and agency bonds, 4% investment grade corporate bonds and 2% cash and equivalents. It advises 1 private funds.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Vaughan Nelson Investment Management?

Vaughan Nelson Investment Management is owned through a chain of holding companies by Bpce. Its direct owner is Natixis Investment Managers, LLC (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026

How does Vaughan Nelson Investment Management get paid?

Vaughan Nelson Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 30 March 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 106975.
  3. Form 13F-HR, filed 16 July 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with Vaughan Nelson Investment Management, L.P. and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.