Richard P. Slaughter Associates, Inc.
- Regulatory AUM
- $905M
- Discretionary
- $884M
- Clients
- 457
- Avg AUM / client
- $2.0M
- Accounts
- 1,564
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Jul 31, 2026
Investments (13F portfolio — 101 positions, $510,083,938)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | J P Morgan Exchange Traded F | INTRNL RES EQT | $65,306,261 | 791,687 | 12.8% | 7.21% |
| 2 | Fidelity Covington Trust | ENH MID COR ETF | $57,519,837 | 1,417,443 | 11.3% | 6.35% |
| 3 | Ishares Tr | RUS TP200 VL ETF | $53,980,100 | 513,314 | 10.6% | 5.96% |
| 4 | Ishares Tr | RUS TP200 GR ETF | $38,375,790 | 132,048 | 7.52% | 4.24% |
| 5 | Goldman Sachs Etf Tr | ACTIVEBETA US | $22,154,974 | 242,768 | 4.34% | 2.45% |
| 6 | Angel Oak Funds Trust | OAK ULTRASHORT | $20,810,807 | 408,015 | 4.08% | 2.3% |
| 7 | Neos Etf Trust | NEOS ENH INC 1-3 | $20,787,506 | 417,336 | 4.08% | 2.3% |
| 8 | Global X Fds | ARTIFICIAL ETF | $18,376,771 | 280,091 | 3.6% | 2.03% |
| 9 | First Tr Exchange Traded Fd | VEST LAD AUT ETF | $15,509,836 | 755,104 | 3.04% | 1.71% |
| 10 | Ishares Inc | CORE MSCI EMKT | $15,063,460 | 181,838 | 2.95% | 1.66% |
| 11 | Columbia Etf Tr Ii | EM CORE EX ETF | $13,633,945 | 257,828 | 2.67% | 1.51% |
| 12 | Apple Inc | COM | $12,658,623 | 43,747 | 2.48% | 1.4% |
| 13 | First Tr Exchange Traded Fd | NASDQ CLN EDGE | $9,127,875 | 47,603 | 1.79% | 1.01% |
| 14 | Ishares Tr | MSCI INTL QUALTY | $8,854,635 | 178,701 | 1.74% | 0.98% |
| 15 | Schwab Strategic Tr | FUNDAMENTAL INTL | $7,719,896 | 146,321 | 1.51% | 0.85% |
| 16 | Vanguard World Fd | MEGA GRWTH IND | $7,597,358 | 86,422 | 1.49% | 0.84% |
| 17 | Nvidia Corporation | COM | $7,422,339 | 37,095 | 1.46% | 0.82% |
| 18 | Alphabet Inc | CAP STK CL C | $5,672,360 | 16,054 | 1.11% | 0.63% |
| 19 | Ishares Tr | RUSSELL 2000 ETF | $5,180,659 | 17,243 | 1.02% | 0.57% |
| 20 | World Gold Tr | SPDR GLD MINIS | $4,968,039 | 62,554 | 0.97% | 0.55% |
| 21 | Microsoft Corp | COM | $4,830,982 | 12,951 | 0.95% | 0.53% |
| 22 | Vanguard World Fd | MEGA CAP VAL ETF | $4,716,023 | 28,853 | 0.92% | 0.52% |
| 23 | T Rowe Price Exchange Traded | SMALL MID CAP | $4,264,149 | 97,244 | 0.84% | 0.47% |
| 24 | Broadcom Inc | COM | $3,960,709 | 10,485 | 0.78% | 0.44% |
| 25 | Blackrock Etf Trust | ISHA IN CTRY ETF | $3,762,700 | 102,806 | 0.74% | 0.42% |
Top 25 of 101 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 207 | $86.2M | 9.52% |
| High net worth individuals | 250 | $806M | 89.1% |
| Charitable organizations | 0 | $11.7M | 1.29% |
| Insurance companies | 0 | $1.2M | 0.14% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cms Savings Plan And Trust Covenant Management Systems, Lp | 2024 | |
| Lewis Watkins Farmer Agency, Inc. 401(k) Plan Lewis Watkins Farmer Agency, Inc. | 2024 | |
| Triple Crown Consulting, Llc 401(k) Plan Triple Crown Consulting, Llc | 2024 |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brooks Collier Slaughter | President / Chief Compliance Officer | CFP | Feb 1993 (33y) | ≈ 18.75% – 50% via Richard P. Slaughter Holdings |
| Robert Miles Tabor | Executive Vice President Of Marketing | Aug 2001 (25y) | Less than 5% | |
| Darby Suggs Armont | Executive Vp Of Wealth Management And Business Strategy | CFP CFA | Oct 2001 (25y) | Less than 5% |
| Ann Michele Nowell | Executive Vice President Of Operations | Apr 2005 (21y) | Less than 5% | |
| Jana Lynn Hovey | Registered representative | CFP | Apr 2011 (15y) | |
| Laura Joelle Martin | Registered representative | Dec 2014 (12y) | ||
| James Allen Sherrard | Registered representative | CFP CFA | Apr 2016 (10y) | |
| Joshua David Gideon | Registered representative | CFP | Jan 2020 (7y) | |
| Lafe Isaac Blobaum | Registered representative | CFP | Feb 2020 (6y) | |
| Christopher William Snyder | Registered representative | CFP | Apr 2021 (5y) | |
| Liam Toohey | Registered representative | CFP | Oct 2021 (5y) | |
| Tanner Dale Banister | Registered representative | CFP | May 2023 (3y) | |
| Jeremy Scott Mocek | Registered representative | CFP | Nov 2023 (3y) | |
| Colin Higgins | Registered representative | CFP | Apr 2025 (1y) | |
| Trevor Martin | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Richard P. Slaughter Holdings | Holding Company | Jan 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Brooks Collier Slaughter: 25% – 50% of Richard P. Slaughter Holdings × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cms Savings Plan And Trust | Covenant Management Systems, Lp | 2,584 | $414M | 01/01/2024 |
| Lewis Watkins Farmer Agency, Inc. 401(k) Plan | Lewis Watkins Farmer Agency, Inc. | 158 | $14.7M | 01/01/2024 |
| Triple Crown Consulting, Llc 401(k) Plan | Triple Crown Consulting, Llc | 541 | $11.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $867M (96% of AUM) Mar 2026
- Newedge Securities, Inc. $292M (39% of AUM) May 2022
- Mid Atlantic Capital Corporation $258M (27% of AUM) Jul 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗