Vaughan Nelson Investment Management, L.P

CRD#106975
Investment Advisor Firm

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Learn more about Vaughan Nelson Investment Management, L.P

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Vaughan Nelson Investment Management, L.P is located at 600 Travis, Suite 3800, Houston, TX. The firm employs 21 financial advisors to manage client portfolios and provide financial guidance. Vaughan Nelson Investment Management, L.P is not a registered broker-dealer.

    Vaughan Nelson Investment Management, L.P oversees $14.7 billion in assets under management across 432 accounts, of which 431 are discretionary and 1 is non-discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for institutional clients. The firm caters to a diverse range of investors, including retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisers, insurance companies, and corporations. The fee structure at Vaughan Nelson Investment Management, L.P includes asset-based and performance-based fees. The firm has 182 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, real estate broker or dealer, and commodity pool advisor.

    Vaughan Nelson Investment Management, L.P is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $14.7 billion

    Number of Advisors

    21

    Disclosures

    No

    Office Location

    600 Travis, Suite 3800
    Houston, TX 77002-3071

    Vaughan Nelson Investment Management, L.P by the Numbers

    Total Assets Under Management

    $14.7 billion

    National Average: $8.6 billion
    Total Number of Employees

    47

    National Average: 64
    Total Number of Accounts

    432

    National Average: 375,227
    Average Account Size

    $34.0 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial management typically depend on the type of financial services offered. Fees charged by Vaughan Nelson Investment Management, L.P can consist of some combination of the following fee types: asset-based or performance-based. The company participates in a wrap fee program, in which the company offers a service bundle for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm manages money for a number of different customers. It provides services to retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisers, insurance companies, corporations, and other. Out of its 11 clients, Vaughan Nelson Investment Management, L.P's largest client type by number of accounts is corporations, but it also caters to 182 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 43.13%
    • Other Individuals - 3.32%
    • Corporations - 33.65%
    • Charitable Organizations - 19.91%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Vaughan Nelson Investment Management, L.P does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Vaughan Nelson Investment Management, L.P

    Matthew Caire
    Houston, TX
    Danika Cline
    Houston, TX
    Dennis Alff
    Houston, TX
    Scott Weber
    Houston, TX
    Mark Farrell
    Houston, TX
    Christopher Wallis
    Houston, TX
    Blanca Garza
    Houston, TX

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