DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Vaughan Nelson Investment Management, L.P.
Latest filing Mar 30, 2026
First filing on the tape Dec 20, 2011 · 29 filings
SEC status approved since Apr 25, 1996
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.0%
$487M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$2.0B
derived; firm RAUM over IAPD count
Employees
53
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$12B as of Mar 30, 2026
Mar 30, 2012$7.3B then
HNW client RAUM$461M as of Mar 30, 2026
Mar 29, 2018$485M then
State-registered IARs (5.B.3)7 as of Mar 30, 2026
Mar 28, 20138 then
Employees (5.A)53 as of Mar 30, 2026
Mar 28, 201337 then
Private funds1 as of Mar 30, 2026
Mar 28, 20135 then
RAUM -23% over the last fiscal year-0.3% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $2.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $32.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$4.8B39%
- Corporations and businesses$2.3B19%
- Other investment advisers$1.1B9.2%
- Charitable organizations$971M7.9%
- Pension and profit-sharing plans$743M6.1%
- State and municipal entities$628M5.1%
- Pooled investment vehicles$611M5.0%
- Insurance companies$559M4.6%
- High-net-worth individuals$461M3.8%
- Individuals$25.8M0.2%
- Individual clients
- 15reported
- HNW clients
- 155reported
- Pension plan clients
- 19reported
- Charitable clients
- 75reported
- Accounts
- 379reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.54 institutional_share=0.24 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Edward Farrell | Houston, Tx | Dec 20, 2000 | 27 y | 1 |
| Christopher David WallisChartered Financial Analyst | Houston, Tx | Nov 12, 2002 | 27 y | 1 |
| Scott Jackson WeberChartered Financial Analyst | Houston, Tx | Nov 25, 2003 | 29 y | 1 |
| Dennis G. AlffChartered Financial Analyst | Houston, Tx | Jan 18, 2008 | 20 y | 1 |
| Danika Haselden Wilkinson | Houston, Tx | Aug 17, 2017 | 12 y | 0 |
| Matthew Etienne CaireCertified Financial Planner, Chartered Financial Analyst | Houston, Tx | Jan 2, 2024 | 15 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Fred Leckie Williams to Ghe Advisers, L.P.May 27, 2009 · Other
- William Robert Berger to Paul Comstock PartnersFeb 20, 2004 · Other
Joined, latest
- Matthew Etienne Caire from Patriot Wealth Management, Inc.Jan 2, 2024 · Other
- Fred Leckie Williams from Vaughan Nelson Trust CompanyJun 10, 2002 · Other
- William Robert Berger from Vaughan Nelson Trust CompanyFeb 8, 1999 · Other
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Stb Holdings, L.P.no longer reported | Other Private Fund | $43.0M | 5 | Mar 28, 2013 |
| Vnim01no longer reported | Other Private Fund | $12.6M | 4 | Mar 28, 2013 |
| Vnim05no longer reported | Other Private Fund | $7.7M | 5 | Mar 28, 2013 |
| Vnim02no longer reported | Other Private Fund | $7.2M | 20 | Mar 29, 2016 |
| Vnim04no longer reported | Other Private Fund | $5.0M | 16 | Mar 28, 2013 |
| Vnim08no longer reported | Other Private Fund | $3.4M | 2 | Mar 30, 2017 |
| Vnim09 | Other Private Fund | $3.2M | 11 | Mar 30, 2021 |
| Vnim07no longer reported | Other Private Fund | $2.3M | 0 | Mar 30, 2017 |
| Vnim06no longer reported | Other Private Fund | $2.0M | 0 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Lawrence David Giunta · Directorcontrolsince 05/2013 · owns less than 5%
- Carlos Gonzalez · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Theodore James Orfanos · Directorcontrolsince 02/2017 · owns less than 5%
- Steven Psaledakis · Presidentcontrolsince 12/2017 · owns less than 5%
- Elliot Nathan Sloan · Chief Operating Officercontrolsince 09/2023 · owns less than 5%
- David Christopher Wallis · Director, Ceo & Ciocontrolsince 12/2011 · owns less than 5%
Entity owners
- Natixis Investment Managers, LLC · Limited Partner Of Applicantdirect · owns 75% or more
- Vaughan Nelson Investment Management, Inc. · General Partnerdirect · owns less than 5%
- Bpce · Shareholderindirect · owns 75% or more of Natixis
- Natixis · Shareholderindirect · owns 75% or more of Natixis Investment Managers
- Natixis Investment Managers · Shareholderindirect · owns 75% or more of Natixis Investment Managers Participations 1
- Natixis Investment Managers Participations 1 · Memberindirect · owns 75% or more of Natixis Investment Managers, LLC
- Natixis Investment Managers, LLC · Shareholderindirect · owns 75% or more of Vaughan Nelson Investment Management, Inc.
Related persons
Schedule D 7.A
- Aew Capital Management LPinvestment adviserbankinvestment companynRAUM $3.0B
- Flexstone Partners Sasinvestment advisern
- Gateway Investment Advisers, LLCinvestment advisernRAUM $12B
- Harris | Oakmarkinvestment adviserbanknRAUM $109B
- Investors Mutual Limitedinvestment advisern
- Loomis, Sayles & Company, L.P.investment adviserbankpooled vehicle sponsornRAUM $387B
- Mv Credit Partners Llpinvestment advisern
- Natixis Advisors, LLCinvestment adviserbanknRAUM $109B
- Natixis Distribution, LLCbroker-dealern
- Natixis Investment Managers Internationalinvestment advisern
- Natixis Investment Managers S.A.investment advisern
- Vauban Infrastructureinvestment advisern
Advisers that list Vaughan Nelson Investment Management, L.P. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-26, no on the filing of 2026-03-30peers: other advisers, $5B to $20B (134)
What changed
consecutive filings, newest first
- Accounts · 416 to 379Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 22 to 26Mar 26, 2025 to Mar 30, 2026
- Charity clients · 81 to 75Mar 26, 2025 to Mar 30, 2026
- Corporate clients · 70 to 63Mar 26, 2025 to Mar 30, 2026
- HNW clients · 167 to 155Mar 26, 2025 to Mar 30, 2026
- Individual clients · 19 to 15Mar 26, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 9Mar 26, 2025 to Mar 30, 2026
- Employees · 47 to 53Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $16B to $12BMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $494M to $461MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $15.5M to $25.8MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $6.2M to $5.7MMar 26, 2025 to Mar 30, 2026
- Pension RAUM · $687M to $743MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $447M to $611MMar 26, 2025 to Mar 30, 2026
- RAUM · $16B to $12BMar 26, 2025 to Mar 30, 2026
- Wrap assets (manager) · 1076266722.0 to unsetMar 26, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 26, 2025 to Mar 30, 2026
- Accounts · 432 to 416Jun 28, 2024 to Mar 26, 2025
- Advisory employees · 21 to 22Jun 28, 2024 to Mar 26, 2025
- Charity clients · 84 to 81Jun 28, 2024 to Mar 26, 2025
- Corporate clients · 68 to 70Jun 28, 2024 to Mar 26, 2025
- HNW clients · 182 to 167Jun 28, 2024 to Mar 26, 2025
- Individual clients · 14 to 19Jun 28, 2024 to Mar 26, 2025
- Pension plan clients · 23 to 19Jun 28, 2024 to Mar 26, 2025
- Pooled vehicle clients · 6 to 7Jun 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jun 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $15B to $16BJun 28, 2024 to Mar 26, 2025
- HNW RAUM · $472M to $494MJun 28, 2024 to Mar 26, 2025
- Individual RAUM · $7.4M to $15.5MJun 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $6.3M to $6.2MJun 28, 2024 to Mar 26, 2025
- Pension RAUM · $987M to $687MJun 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $459M to $447MJun 28, 2024 to Mar 26, 2025
- RAUM · $15B to $16BJun 28, 2024 to Mar 26, 2025
- Wrap assets (manager) · $786M to $1.1BJun 28, 2024 to Mar 26, 2025
- Accounts · 423 to 432May 1, 2023 to Mar 25, 2024
- Charity clients · 76 to 84May 1, 2023 to Mar 25, 2024
- Corporate clients · 69 to 68May 1, 2023 to Mar 25, 2024
- HNW clients · 184 to 182May 1, 2023 to Mar 25, 2024
- Individual clients · 11 to 14May 1, 2023 to Mar 25, 2024
- Pooled vehicle clients · 7 to 6May 1, 2023 to Mar 25, 2024
Signals
4 dated events
- Elliot Nathan Sloan (Chief Operating Officer) appeared on Schedule A of Vaughan Nelson Investment Management, L.P.Mar 25, 2024 · Control person joined · fact
- Carlos Gonzalez (Chief Compliance Officer) appeared on Schedule A of Vaughan Nelson Investment Management, L.P.Mar 31, 2022 · Control person joined · fact
- Bruce Richard Faig (Cfo, Chief Compliance Officer) no longer on Schedule A of Vaughan Nelson Investment Management, L.P. (listed 2021-07-15, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Mills Beverly Bearden (Director) no longer on Schedule A of Vaughan Nelson Investment Management, L.P. (listed 2020-06-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Vaughan Nelson Investment Management, L.P. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/VAUGHAN-NELSONreportedpublic record, Form ADV, Sep 17, 2026
- Website
- soundcloud.com/user-15263885reportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-224-2545reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026