Vaughan Nelson Investment Management LP
advisor23 known aliases resolved via the canonical alias map
Market position · 2024
Plans served6-5 YoYRank #2201 of mapped providers
Assets under administration$59.0B0.1%Market share · rank #318
Fees received$5MMedian $330,443/planSum across Schedule C direct + indirect
Net wins YoY-40 won · 4 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical Vaughan Nelson Investment Management LP plan look like?
Service mix · median fees per plan
Count of plans where Vaughan Nelson Investment Management LP ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment management fees paid directly by plan; Soft dollars commissions; Direct payment from the plan; Investment managementCode 28 | 4 | $696,703 | |
Direct payment from the plan; Investment advisory (plan)Code 27 | 1 | $33,100 | |
Direct payment from the plan; Employee (plan)Code 30 | 1 | $100,549 |
Competitor overlap
Percent of Vaughan Nelson Investment Management LP's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under Vaughan Nelson Investment Management LP.
| Sponsor | From | Assets |
|---|
Plans lost in 2024
Appeared last year under Vaughan Nelson Investment Management LP; not this year.
| Sponsor | To | Assets |
|---|---|---|
QUAD/GRAPHICS, INC.WI · 391152983-003 | Mariner Institutional | $2.1B |
INTERNATIONAL UNION OF OPERTING ENG. PEN FUND OF E.PENNSYLVANIA AND DEPA · 236405239-001 | Dana Investment Advisors | $1.0B |
BLUE CROSS BLUE SHIELD OF MASSACHUSETTS, INC.MA · 041045815-001 | Metzler Locricchio Serra & Co PC | $907M |
LABORERS LOCAL 157 PENSION FUNDNY · 146076460-001 | MICHAEL BRADY | $84M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
WALMART INC.AR · 710415188-003 | $50.8B | 1,970,230 | $3M | 6y | - |
THE PNC FINANCIAL SERVICES GROUP, INC.PA · 251435979-002 | $5.5B | 115,646 | $848,385 | 6y | - |
HESS CORPORATIONTX · 134921002-333 | $1.9B | 6,598 | $545,021 | 10y | - |
FINRADC · 530088710-001 | $535M | 2,254 | $115,865 | 10y | - |
HUNT CONSOLIDATED, INC.TX · 751727234-001 | $222M | 906 | $33,100 | 8y | - |
LOCAL 670 PENSION FUNDNY · 136567359-001 | $84M | 3,431 | $100,549 | 6y | - |
Flag exposure
83.3%Market: 89.1%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (23)
Raw Schedule C names collapsed into Vaughan Nelson Investment Management LP.
- KASTON & ABERLE LLP
- KATERINA ZAIMOVA
- KATHERINE ALBRIGHT
- KATHERINE C GARCIA
- KATHERINE EBY
- KATHERINE VELAZQUEZ
- VAUGHAN NELSON
- VAUGHAN NELSON INV MANAGEMENT
- VAUGHAN NELSON INV MGMT LP
- VAUGHAN NELSON INV MGMT, LP
- VAUGHAN NELSON INVESTMENT
- VAUGHAN NELSON INVESTMENT MANAGEMEN
- VAUGHAN NELSON INVESTMENT MGMT
- VAUGHAN NELSON INVESTMENT MGMT IN
- VAUGHAN NELSON INVESTMENT MGMT LP
- VAUGHAN NELSON INVESTMENT MGMT, LP
- VAUGHAN NELSON INVESTMENT MGT, LP
- VAUGHAN NELSON TRUST
- VAUGHN NELSON INVESTMENT MANAGEMENT
- VAUGHN NELSON INVESTMENT MANAGER
- VAUGHN NELSON INVESTMENT MGMT
- VAUGHN NELSON INVESTMENT MGMT LP
- VAUGHN NELSON INVESTMENTS
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for Vaughan Nelson Investment Management LP's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 0 | 0.00% | 1.71% | -1.71 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 0 | 0.00% | 1.76% | -1.76 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with Vaughan Nelson Investment Management LP. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent
Frequent partners by role
Who else shows up on Vaughan Nelson Investment Management LP's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Groom Law Group, Chartered | 1 | 16.7% |
| Morgan Lewis & Bockius LLP | 1 | 16.7% |
| Rothman Rocco & Laruffa LLP | 1 | 16.7% |