James A. Sherrard

RICHARD P. SLAUGHTER ASSOCIATES

Austin, TX 78759

Some features on this profile are disabled

CRD#: 6056540

Professional summary

James Allen Sherrard, AIF®, CFP® is a registered financial advisor currently at RICHARD P. SLAUGHTER ASSOCIATES, INC. located in Austin, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 2 firms and has passed the Series 65 exam.

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.

I am employed as Investment Analyst by both Richard P. Slaughter Associates, Inc. ("RPSAI") and Strategic Investment Management ("SIM"). I devote the majority of my time to RPSAI and the remainder to SIM, performing investment research and analysis and trading. I began working for SIM in January 2012 and RPSAI in September 2015. Both firms are registered investment advisors. SIM is located at 13809 Research Blvd, Suite 915, Austin, TX 78750.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Sherrard'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

April 22, 2016 - Present

RICHARD P. SLAUGHTER ASSOCIATES, INC.

Office #1: 9600 North Mopac Suite 600, Austin, TX 78759

RIA

CRD#: 109080

Austin, TX

Past

May 24, 2012 - April 4, 2019

STRATEGIC INVESTMENT MANAGEMENT

RIA

CRD#: 129949

AUSTIN, 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".

RICHARD P. SLAUGHTER ASSOCIATES, INC.

RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS

CRD#: 109080 / SEC#: 801-55455

RIA

Registered Investment Advisory firm - (4/20/1998 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

New Mexico
(4/25/2016)

IAR

Texas
(4/22/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/23/2012

Uniform Investment Adviser Law Examination

Current Firm

RICHARD P. SLAUGHTER ASSOCIATES, INC.

RICHARD P. SLAUGHTER ASSOCIATES, INC. | SLAUGHTER RICHARD P ASSOCIATES INC | RPS RETIREMENT PLAN ADVISORS

CRD#: 109080 / SEC#: 801-55455

RIA

Registered Investment Advisory firm - (4/20/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9600 North Mopac Suite 600, Austin, TX 78759

Mailing Address

Phone number

(512) 918-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE FOR RICHARD P SLAUGHTER ASSOCIATES (10/22/2025)

Regulatory assets under management

Total Number of Accounts	1,746
AUM (Assets Under Management)	$ 863,943,037

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.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Sherrard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Sherrard's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHARD P. SLAUGHTER ASSOCIATES, INC.

STRATEGIC INVESTMENT MANAGEMENT

Primary Firm SEC Registration

RICHARD P. SLAUGHTER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2012

Current Firm

RICHARD P. SLAUGHTER ASSOCIATES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD P. SLAUGHTER ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors