DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Jimmy Elton Sloan
Feed of 09/15/2026
Also filed as Jim Sloan
At current firm
4 y
since Apr 21, 2022
In the industry
22 y
since Jun 24, 2004 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Maripau Wealth Management LLC independent RIA currentsince Apr 21, 2022 · Shenandoah, Tx
- Foundations Investment Advisors LLC independent RIAMay 18, 2021 to Apr 19, 2022 · The Woodlands, Tx
- Ae Wealth Management, LLC BD affiliatedJul 24, 2019 to May 14, 2021 · Highlands Ranch, Co
- Global Financial Private Capital, Inc. formerApr 9, 2010 to Jan 6, 2017 · Houston, Tx
- Kalos Management formerMar 23, 2009 to Nov 10, 2010 · Ponte Vedra Beach, Fl
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedAug 4, 2008 to Mar 6, 2009 · Friendswood, Tx
- USA Financial Securities LLC independent RIASep 2, 2005 to Aug 4, 2008 · Ada, Mi
- Geneos Wealth Management, Inc. BD affiliatedJun 6, 2005 to Sep 6, 2005 · Friendswood, Tx
- Senior Money Management, LLC unclassifiedJun 24, 2004 to Jan 13, 2005 · Friendswood, Tx
Moves
a registration end followed by a registration begin elsewhere
- Foundations Investment Advisors LLC to Maripau Wealth Management LLCleft Apr 19, 2022, registered Apr 21, 2022 (2 days) · RIA to RIA
- Ae Wealth Management, LLC to Foundations Investment Advisors LLCleft May 14, 2021, registered May 18, 2021 (4 days) · Affiliated broker-dealer or bank to independent RIA
- Global Financial Private Capital, Inc. to Ae Wealth Management, LLCleft Jan 6, 2017, registered Jul 24, 2019 (929 days) · Other · moved with a team
- Kalos Management to Global Financial Private Capital, Inc.left Nov 10, 2010, registered Apr 9, 2010 (-215 days) · Other
- Berthel Fisher & Company Financial Services, Inc. to Kalos Managementleft Mar 6, 2009, registered Mar 23, 2009 (17 days) · Other
- USA Financial Securities LLC to Berthel Fisher & Company Financial Services, Inc.left Aug 4, 2008, registered Aug 4, 2008 (0 days) · Other
- Geneos Wealth Management, Inc. to USA Financial Securities LLCleft Sep 6, 2005, registered Sep 2, 2005 (-4 days) · Other
- Senior Money Management, LLC to Geneos Wealth Management, Inc.left Jan 13, 2005, registered Jun 6, 2005 (144 days) · Other
Signals
- Jimmy Elton Sloan left Foundations Investment Advisors Llc for Maripau Wealth Management Llc (registered 2022-04-21)Apr 19, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address