# VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. of HOUSTON, TX is an SEC-registered investment adviser.

## Registration

- CRD: 106975
- Type: SEC-registered investment adviser
- SEC file number: 801-51795
- Location: 600 TRAVIS, SUITE 3800, HOUSTON, TX, 77002-3071
- Phone: 713-224-2545
- Latest filing: 2026-03-30
- Regulatory AUM: $12.2B
- Discretionary AUM: $12.2B
- Non-discretionary AUM: $5.7M
- Clients: 53
- Accounts: 379

## Business model

- Compensation: % of AUM, Performance
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (26)

_Showing 25 of 26 people._

| Name | Role | Location |
| --- | --- | --- |
| [Carlos Gonzalez](https://search.stillhousedata.com/person/24612) | CHIEF COMPLIANCE OFFICER | Lake Mary, FL |
| [David Lawrence Giunta](https://search.stillhousedata.com/person/665031) | DIRECTOR | — |
| [Eric Norman Ward](https://search.stillhousedata.com/person/665036) | DIRECTOR | — |
| [Christopher David Wallis](https://search.stillhousedata.com/person/705630) | DIRECTOR, CEO & CIO | — |
| [James Theodore Orfanos](https://search.stillhousedata.com/person/705631) | DIRECTOR | — |
| [Steven Psaledakis](https://search.stillhousedata.com/person/705632) | PRESIDENT | — |
| [Nathan Elliot Sloan](https://search.stillhousedata.com/person/705633) | CHIEF OPERATING OFFICER | — |
| [Susan Konarik Darshad](https://search.stillhousedata.com/person/705634) | MANAGING DIRECTOR, FINANCE | — |
| [VOSS PETER STUART](https://search.stillhousedata.com/person/733984) | DIRECTOR | — |
| [HAILER JOHN THOMAS](https://search.stillhousedata.com/person/740722) | DIRECTOR | — |
| [LAHOURCADE LEE ALAN](https://search.stillhousedata.com/person/742195) | PRESIDENT, CEO AND DIRECTOR | — |
| [FAIG RICHARD BRUCE](https://search.stillhousedata.com/person/742196) | CFO, CHIEF COMPLIANCE OFFICER; CFO, COMPLIANCE | — |
| [BEARDEN BEVERLY MILLS](https://search.stillhousedata.com/person/742197) | DIRECTOR | — |
| [CHAFKIN JEREMIAH HARRISON](https://search.stillhousedata.com/person/744196) | DIRECTOR | — |
| [GIUNTA DAVID LAWRENCE](https://search.stillhousedata.com/person/771848) | DIRECTOR | — |
| [MCCULLOUGH EDWARD](https://search.stillhousedata.com/person/779390) | DIRECTOR | — |
| [VAUGHAN VAUGHAN HAROLD](https://search.stillhousedata.com/person/779392) | CHAIRMAN, DIRECTOR | — |
| [UMBERFIELD SHERRY ANN](https://search.stillhousedata.com/person/780263) | DIRECTOR | — |
| [SCARBOROUGH JOHN FRANKLIN](https://search.stillhousedata.com/person/780535) | DIRECTOR | — |
| [BEARDEN BEVERLY M](https://search.stillhousedata.com/person/792913) | DIRECTOR | — |
| [SLOAN NATHAN ELLIOT](https://search.stillhousedata.com/person/803199) | CHIEF OPERATING OFFICER | — |
| [PSALEDAKIS STEVEN](https://search.stillhousedata.com/person/808446) | PRESIDENT | — |
| [MCCULLOUGH EDWARD STANTON](https://search.stillhousedata.com/person/809203) | DIRECTOR | — |
| [GONZALEZ JOSE CARLOS](https://search.stillhousedata.com/person/817540) | CHIEF COMPLIANCE OFFICER | — |
| [WALLIS CHRISTOPHER DAVID](https://search.stillhousedata.com/person/817951) | DIRECTOR, CEO & CIO; PRESIDENT, CEO | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-09-06 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER FILING AND SETTLING CHARGES AGAINST NATIXIS, A GLOBAL BANK AND SWAP DEALER, FOR FAILURE TO DILIGENTLY SUPERVISE TWO TRADERS ON THE BANK'S NEW YORK-BASED INTEREST RATE DERIVATIVES DESK (IRD DESK) AND ITS EQUITY DERIVATIVES FLOW AND SOLUTION TRA… | Final | $2.8M |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | On Appeal | — |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/106975/brochure
- Similar advisers: https://search.stillhousedata.com/firm/106975/similar
- Related entities: https://search.stillhousedata.com/firm/106975/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/106975

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.