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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

VAUGHAN NELSON TRUST COMPANY

CRD 105782

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85a906b0-5ec6-6ef8-22d8-ee75d0d75d5a

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Mar 28, 2013
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $239MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $239M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 0
Accounts: 178
Custody, client assets: $239M
SEC number: 801-29438
CRD: 105782
Filings on the tape: 4
First filed: Dec 20, 2011
Latest filed: Mar 28, 2013
Organised: Corporation, Texas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Bpce	Shareholder	D	yes	07/2009	Dec 20, 2011	Mar 28, 2013
FAIG, RICHARD, BRUCE	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR	Na	yes	03/2005	Dec 20, 2011	Mar 28, 2013
FARRELL, MARK, EDWARD	SENIOR VICE PRESIDENT, DIRECTOR	Na	yes	03/2002	Dec 20, 2011	Mar 28, 2013
HENRIKSEN, STEVEN, MARTIN	PRESIDENT, DIRECTOR	Na	yes	12/2011	Dec 20, 2011	Mar 28, 2013
KERN, SUSAN, HAMLIN	VICE PRESIDENT	Na	yes	06/2004	Dec 20, 2011	Mar 28, 2013
Natixis	Shareholder	E	yes	09/2011	Dec 20, 2011	Mar 28, 2013
NATIXIS GLOBAL ASSET MANAGEMENT	Shareholder	E	yes	08/2004	Dec 20, 2011	Mar 28, 2013
NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC	Shareholder	E	yes	05/1996	Dec 20, 2011	Mar 28, 2013
NATIXIS GLOBAL ASSET MANAGEMENT L.P.	Member	E	yes	05/1996	Dec 20, 2011	Mar 28, 2013
NATIXIS GLOBAL ASSET MANAGEMENT PARTICIPATIONS 1	Shareholder	E	yes	06/2005	Dec 20, 2011	Mar 28, 2013
NATIXIS GLOBAL ASSET MANAGEMENT, LLC	GENERAL PARTNER	F	yes	10/2000	Dec 20, 2011	Mar 28, 2013
NATIXIS U.S. HOLDINGS, INC. (NUSHI)	LIMITED PARTNER	E	yes	10/2000	Dec 20, 2011	Mar 28, 2013
NATIXIS U.S. HOLDINGS, INC. (NUSHI)	Member	E	yes	10/2000	Dec 20, 2011	Mar 28, 2013
VAUGHAN NELSON INVESTMENT MANAGEMENT, INC	GENERAL PARTNER	F	yes	04/1996	Dec 20, 2011	Mar 28, 2013
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.	SHAREHOLDER OF VAUGHAN NELSON TRUST COMPANY	E	yes	12/1997	Dec 20, 2011	Mar 28, 2013
BUESCHER, MARGARET, MCCULLOUGH	SENIOR VICE PRESIDENT, DIRECTOR	Na	no	12/1997	Dec 20, 2011	Mar 28, 2013
SLOAN, NATHAN, ELLIOT	VICE PRESIDENT, DIRECTOR	Na	no	06/2009	Dec 20, 2011	Mar 28, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.	n/a	Other adviser	$12B	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013	$239M	$239M	2	0	n/a	n/a	n/a
2011	Mar 30, 2012	$240M	$240M	n/a	0	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$239M	$240M	-0.2%	n/a	n/a	2	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.OwnerSHAREHOLDER OF VAUGHAN NELSON TRUST COMPANY, ownership code E, domestic entity
Dec 20, 2011 to presentfactForm ADV
← HENRIKSEN, STEVEN, MARTINOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← FAIG, RICHARD, BRUCEOwnerCHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← FARRELL, MARK, EDWARDOwnerSENIOR VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← KERN, SUSAN, HAMLINOwnerVICE PRESIDENT, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← BPCEOwnerSHAREHOLDER, ownership code D, foreign entity
Dec 20, 2011 to presentfactForm ADV
← NATIXISOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 20, 2011 to presentfactForm ADV
← NATIXIS GLOBAL ASSET MANAGEMENTOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 20, 2011 to presentfactForm ADV
← NATIXIS GLOBAL ASSET MANAGEMENT PARTICIPATIONS 1OwnerSHAREHOLDER, ownership code E, foreign entity
Dec 20, 2011 to presentfactForm ADV
← NATIXIS U.S. HOLDINGS, INC. (NUSHI)OwnerLIMITED PARTNER, ownership code E, domestic entity
Dec 20, 2011 to presentfactForm ADV

Owns (2)

← BUESCHER, MARGARET, MCCULLOUGHOwnerSENIOR VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← SLOAN, NATHAN, ELLIOTOwnerVICE PRESIDENT, DIRECTOR, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV

Registered with (6)

← SCOTT JACKSON WEBERAdvisorregistration: previous registration
Nov 25, 2003 to Mar 26, 2014factForm ADV
← CHRISTOPHER DAVID WALLISAdvisorregistration: previous registration
Dec 5, 2002 to Mar 26, 2014factForm ADV
← MARK EDWARD FARRELLAdvisorregistration: previous registration
May 15, 2000 to Mar 26, 2014factForm ADV
← DENNIS G. ALFFAdvisorregistration: previous registration
Jan 25, 2008 to Mar 26, 2014factForm ADV
← FRED LECKIE WILLIAMSAdvisorregistration: previous registration
Jun 10, 2002 to May 27, 2009factForm ADV
← WILLIAM ROBERT BERGERAdvisorregistration: previous registration
Dec 7, 1998 to Nov 8, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85a906b0-5ec6-6ef8-22d8-ee75d0d75d5a
First observed: Dec 20, 2011
Last observed: Mar 28, 2013 164 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

VAUGHAN NELSON TRUST COMPANY

CRD 105782

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85a906b0-5ec6-6ef8-22d8-ee75d0d75d5a

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:23 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Bpce

Shareholder

yes

07/2009

Dec 20, 2011

Mar 28, 2013

FAIG, RICHARD, BRUCE

CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR

yes

03/2005

Dec 20, 2011

Mar 28, 2013

FARRELL, MARK, EDWARD

SENIOR VICE PRESIDENT, DIRECTOR

yes

03/2002

Dec 20, 2011

Mar 28, 2013

HENRIKSEN, STEVEN, MARTIN

PRESIDENT, DIRECTOR

yes

12/2011

Dec 20, 2011

Mar 28, 2013

KERN, SUSAN, HAMLIN

VICE PRESIDENT

yes

06/2004

Dec 20, 2011

Mar 28, 2013

Natixis

Shareholder

yes

09/2011

Dec 20, 2011

Mar 28, 2013

NATIXIS GLOBAL ASSET MANAGEMENT

Shareholder

yes

08/2004

Dec 20, 2011

Mar 28, 2013

NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC

Shareholder

yes

05/1996

Dec 20, 2011

Mar 28, 2013

NATIXIS GLOBAL ASSET MANAGEMENT L.P.

Member

yes

05/1996

Dec 20, 2011

Mar 28, 2013

NATIXIS GLOBAL ASSET MANAGEMENT PARTICIPATIONS 1

Shareholder

yes

06/2005

Dec 20, 2011

Mar 28, 2013

NATIXIS GLOBAL ASSET MANAGEMENT, LLC

GENERAL PARTNER

yes

10/2000

Dec 20, 2011

Mar 28, 2013

NATIXIS U.S. HOLDINGS, INC. (NUSHI)

LIMITED PARTNER

yes

10/2000

Dec 20, 2011

Mar 28, 2013

NATIXIS U.S. HOLDINGS, INC. (NUSHI)

Member

yes

10/2000

Dec 20, 2011

Mar 28, 2013

VAUGHAN NELSON INVESTMENT MANAGEMENT, INC

GENERAL PARTNER

yes

04/1996

Dec 20, 2011

Mar 28, 2013

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

SHAREHOLDER OF VAUGHAN NELSON TRUST COMPANY

yes

12/1997

Dec 20, 2011

Mar 28, 2013

BUESCHER, MARGARET, MCCULLOUGH

SENIOR VICE PRESIDENT, DIRECTOR

12/1997

Dec 20, 2011

Mar 28, 2013

SLOAN, NATHAN, ELLIOT

VICE PRESIDENT, DIRECTOR

06/2009

Dec 20, 2011

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

n/a

Other adviser

$12B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$239M

n/a

2011

Mar 30, 2012

$240M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$239M

$240M

-0.2%

n/a