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RIA / WealthAdvisor22 years in industry

JIMMY ELTON SLOAN

Advisor at MARIPAU WEALTH MANAGEMENT LLC

FORT WAYNE, IN | Shenandoah, TX

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Search this name across graphsid dfx:ria:2da43166-14b3-ab39-677e-bd50635109cb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jun 24, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARIPAU WEALTH MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 3, 2005
First registration: Jun 24, 2004
Dual registered: no
Other names: JIM SLOAN
IAPD individual key: 2925022

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MARIPAU WEALTH MANAGEMENT LLC	Independent wealth	Apr 21, 2022	n/a	yes	Shenandoah, TX\|FORT WAYNE, IN	Current employment
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	May 18, 2021	Apr 19, 2022	no	THE WOODLANDS, TX\|PHOENIX, AZ	Previous registration
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Jul 24, 2019	May 14, 2021	no	Highlands Ranch, CO\|Greenwood Village, CO\|THE WOODLANDS, TX	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Apr 9, 2010	Jan 6, 2017	no	HOUSTON, TX\|FRIENDSWOOD, TX\|SARASOTA, FL	Previous registration
KALOS MANAGEMENT	Former SEC adviser	Mar 23, 2009	Nov 10, 2010	no	PONTE VEDRA BEACH, FL	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Aug 4, 2008	Mar 6, 2009	no	FRIENDSWOOD, TX\|Cedar Rapids, IA\|FRIENDSWOOD, TX	Previous registration
USA FINANCIAL SECURITIES LLC	Independent wealth	Sep 2, 2005	Aug 4, 2008	no	ADA, MI\|FRIENDSWOOD, TX\|FRIENDSWOOD, TX	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Jun 6, 2005	Sep 6, 2005	no	FRIENDSWOOD, TX	Previous registration
SENIOR MONEY MANAGEMENT, LLC	n/a	Jun 24, 2004	Jan 13, 2005	no	FRIENDSWOOD, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FOUNDATIONS INVESTMENT ADVISORS LLC	MARIPAU WEALTH MANAGEMENT LLC	Apr 19, 2022	Apr 21, 2022	2	Firm change	RIA to RIA
AE WEALTH MANAGEMENT, LLC	FOUNDATIONS INVESTMENT ADVISORS LLC	May 14, 2021	May 18, 2021	4	Firm change	Ibd to RIA
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	AE WEALTH MANAGEMENT, LLC	Jan 6, 2017	Jul 24, 2019	929	Firm change after gap	Other
KALOS MANAGEMENT	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Nov 10, 2010	Apr 9, 2010	-215	Firm change after gap	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	KALOS MANAGEMENT	Mar 6, 2009	Mar 23, 2009	17	Firm change	Other
USA FINANCIAL SECURITIES LLC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Aug 4, 2008	Aug 4, 2008	0	Firm change	Other
GENEOS WEALTH MANAGEMENT, INC.	USA FINANCIAL SECURITIES LLC	Sep 6, 2005	Sep 2, 2005	-4	Firm change	Other
SENIOR MONEY MANAGEMENT, LLC	GENEOS WEALTH MANAGEMENT, INC.	Jan 13, 2005	Jun 6, 2005	144	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
132070:282580:FL:2016-11-17	Jan 6, 2017	Jul 24, 2019	SARASOTA, FL	Firm change after gap

Relationships

Registered with (9)

→ MARIPAU WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 21, 2022 to presentfactForm ADV
→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
May 18, 2021 to Apr 19, 2022factForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 24, 2019 to May 14, 2021factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Apr 9, 2010 to Jan 6, 2017factForm ADV
→ KALOS MANAGEMENTRegistered adviserregistration: previous registration
Mar 23, 2009 to Nov 10, 2010factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 4, 2008 to Mar 6, 2009factForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Sep 2, 2005 to Aug 4, 2008factForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 6, 2005 to Sep 6, 2005factForm ADV
→ SENIOR MONEY MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 24, 2004 to Jan 13, 2005factForm ADV

Dated events

Occurred
Apr 19, 2022
Advisor changed firm
Jimmy Elton Sloan left Foundations Investment Advisors Llc for Maripau Wealth Management Llc (registered 2022-04-21)
Form ADVobserved 5 days ago