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Dennis G. Alff

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.
HOUSTON, TX 77002
Some features on this profile are disabled
CRD#: 5455166
DA

Professional summary

Dennis G. Alff is a registered financial advisor currently at VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. located in Houston, Texas.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Dennis has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis G. Alff's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 18, 2008 - Present

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

Office #1: 600 Travis, Suite 6300, Houston, TX 77002
RIA
CRD#: 106975
HOUSTON, TX
Past

January 25, 2008 - March 26, 2014

VAUGHAN NELSON TRUST COMPANY

RIA
CRD#: 105782
HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VN
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.
VAUGHAN NELSON | VNIM | VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP | VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

CRD#: 106975 / SEC#: 801-51795

RIA
Registered Investment Advisory firm - (4/25/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(1/18/2008)

Exams

Current Firm

VN
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.
VAUGHAN NELSON | VNIM | VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP | VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

CRD#: 106975 / SEC#: 801-51795

RIA
Registered Investment Advisory firm - (4/25/1996 Approved)
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Contact information

Main Address
600 Travis, Suite 3800, Houston, TX 77002-3071
Mailing Address
180 North Stetson Ave, Suite 5525, Chicago, IL 60601
Phone number
(713) 224-2545
Established
Firm type
Fiscal year end
# of Employees
47

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 VN BROCHURE 2025-03-31 PART 2A - W-SMC (3/26/2025)

Regulatory assets under management

Total Number of Accounts416
AUM (Assets Under Management)$ 15,867,901,203

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.

CRD#: 106975Houston, TX 77002

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