{"url":"https://nivawealth.com/firms/richard-p-slaughter-associates-109080","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109080","regulatoryAum":905151221,"crd":"109080","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3231569","suffix":null,"lastName":"ARMONT","firstName":"DARBY","middleName":"SUGGS"},{"crd":"6955749","suffix":null,"lastName":"Banister","firstName":"Tanner","middleName":"Dale"},{"crd":"7218995","suffix":null,"lastName":"Blobaum","firstName":"Lafe","middleName":"Isaac"},{"crd":"5991791","suffix":null,"lastName":"GIDEON","firstName":"JOSHUA","middleName":"DAVID"},{"crd":"8085744","suffix":null,"lastName":"Higgins","firstName":"Colin","middleName":null},{"crd":"3231570","suffix":null,"lastName":"HOVEY","firstName":"JANA","middleName":"LYNN"},{"crd":"6416879","suffix":null,"lastName":"MARTIN","firstName":"LAURA","middleName":"JOELLE"},{"crd":"7756791","suffix":null,"lastName":"Martin","firstName":"Trevor","middleName":null},{"crd":"6359353","suffix":null,"lastName":"MOCEK","firstName":"JEREMY","middleName":"SCOTT"},{"crd":"4895833","suffix":null,"lastName":"NOWELL","firstName":"ANN","middleName":"MICHELE"},{"crd":"6056540","suffix":null,"lastName":"SHERRARD","firstName":"JAMES","middleName":"ALLEN"},{"crd":"2313765","suffix":null,"lastName":"SLAUGHTER","firstName":"BROOKS","middleName":"COLLIER"},{"crd":"6319578","suffix":null,"lastName":"SNYDER","firstName":"CHRISTOPHER","middleName":"WILLIAM"},{"crd":"7430716","suffix":null,"lastName":"Toohey","firstName":"Liam","middleName":null}],"total":14,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-08","regulatoryAum":955448797,"clients":467,"employees":14,"offices":1},{"filedOn":"2022-05-11","regulatoryAum":755373558,"clients":473,"employees":11,"offices":1},{"filedOn":"2023-08-08","regulatoryAum":729669756,"clients":508,"employees":11,"offices":1},{"filedOn":"2024-03-06","regulatoryAum":796768944,"clients":515,"employees":14,"offices":1},{"filedOn":"2025-05-20","regulatoryAum":863943037,"clients":512,"employees":15,"offices":1},{"filedOn":"2026-08-27","regulatoryAum":905151221,"clients":457,"employees":14,"offices":1}],"secFileNumber":"801-55455","legalName":"Richard P. 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Slaughter Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Darby Armont","title":"Chief Executive Officer","crd":"3231569"},{"name":"James Sherrard","title":"Executive Vice President of Investments","crd":"6056540"},{"name":"Ann Nowell","title":"Chief Operating Officer","crd":"4895833"},{"name":"Brooks Slaughter","title":"Chief Investment Officer, Chief Compliance Officer","crd":"2313765"}],"ownership":[{"label":"Brooks Slaughter","detail":"Chief investment officer, chief compliance officer in the 25% to 50% ownership band and a control person, since July 2026. Also a managing member of Richard P. Slaughter Holdings, LLC in the 25% to 50% band and a control person, since February 2022."},{"label":"Darby Armont","detail":"Chief executive officer in the 5% to 10% ownership band and a control person, since July 2026."},{"label":"Richard P. Slaughter Holdings, LLC","detail":"Holding company in the 75% or more ownership band and a control person, since January 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"9600 North Mopac, Suite 600","city":"Austin","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"512-918-0000","stateRegisteredReps":14,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Derivatives","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":78},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"27 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109080/PDF/109080.pdf","brochureDate":"27 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056211","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Richard P. Slaughter Associates have?","answer":"Richard P. Slaughter Associates has 457 clients and manages $905 million for them, as of August 2026. They include 250 high-net-worth individuals and 207 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Richard P. Slaughter Associates offer?","answer":"Richard P. Slaughter Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, publishing newsletters, educational seminars, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Richard P. Slaughter Associates charge?","answer":"Richard P. Slaughter Associates charges 0.35%–1.25% a year for its Discretionary managed accounts. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $12,500 annual minimum.","source":"BROCHURE FOR RICHARD P SLAUGHTER ASSOCIATES, filed 27 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Richard P. Slaughter Associates use?","answer":"Richard P. Slaughter Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $867M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Richard P. Slaughter Associates have?","answer":"Richard P. Slaughter Associates has 14 investment adviser representatives registered with state securities authorities, out of 14 employees, and 12 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Richard P. Slaughter Associates invest in?","answer":"At the end of its last fiscal year, Richard P. Slaughter Associates’ separately managed accounts held 78% registered funds (mutual funds, ETFs, BDCs), 10% exchange-traded equities, 9% derivatives and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Richard P. Slaughter Associates?","answer":"Richard P. Slaughter Associates’ direct owners are Brooks Slaughter (25% to 50%), Darby Armont (5% to 10%) and Richard P. Slaughter Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Richard P. Slaughter Associates get paid?","answer":"Richard P. Slaughter Associates is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Richard P. Slaughter Associates?","answer":"Richard P. Slaughter Associates’ main office is at 9600 North Mopac, Suite 600, Austin, TX 78759. Its phone number is 512-918-0000. 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