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James Allen Sherrard

Richard P. Slaughter Associates, Inc.

Austin, TX

CRD 6056540

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Employer firm

Richard P. Slaughter Associates, Inc. CRD 109080

$905M regulatory AUM 2 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Richard P. Slaughter Associates, Inc.

9600 North Mopac Suite 600, Austin, TX 78759 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2016-04-25
TX RA APPROVED 2016-04-22
  • NM RA
    APPROVED
    Since 2016-04-25
  • TX RA
    APPROVED
    Since 2016-04-22

Branch Locations

9600 North Mopac Suite 600, Austin, TX 78759 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Strategic Investment Management Austin TX 01/2012 12/2017
Richard P. Slaughter Associates, Inc Austin TX 09/2015 01/2023
Richard P. Slaughter Associates, Inc Austin TX 01/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-23
  • S65 Uniform Investment Adviser Law Examination
    2012-05-23
Designations
  • Certified Financial Planner
  • Chartered Financial Analyst

View on SEC IAPD

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