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.
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SEC-registered adviser
R•••••• P• S•••••••• A••••••••• I•••
Latest filing Aug 27, 2026
First filing on the tape Mar 30, 2012 · 55 filings
SEC status approved since Apr 20, 1998
RAUM
$905M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$892M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$64.7M
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$905M as of Aug 27, 2026
Mar 30, 2012$270M then
HNW client RAUM$806M as of Aug 27, 2026
Mar 29, 2018$371M then
State-registered IARs (5.B.3)14 as of Aug 27, 2026
Mar 30, 20120 then
Employees (5.A)14 as of Aug 27, 2026
Apr 1, 201310 then
Private funds: no history
RAUM +4.8% over the last fiscal year+7.4% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $64.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $578,741derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$806M89%
- Individuals$86.2M9.5%
- Charitable organizations$11.7M1.3%
- Insurance companies$1.2M0.1%
- Individual clients
- 207reported
- HNW clients
- 250reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,564reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• C•••••• S••••••••Certified Financial Planner | Austin, Tx | Feb 23, 1993 | 34 y | 0 |
| D•••• S•••• A•••••Certified Financial Planner, Chartered Financial Analyst | Austin, Tx | Oct 4, 2001 | 27 y | 0 |
| A•• M•••••• N••••• | Austin, Tx | Apr 4, 2005 | 22 y | 0 |
| J••• L••• H••••Certified Financial Planner | Austin, Tx | Apr 12, 2011 | 27 y | 0 |
| L•••• J••••• M••••• | Austin, Tx | Dec 3, 2014 | 13 y | 0 |
| J•••• A•••• S•••••••Certified Financial Planner, Chartered Financial Analyst | Austin, Tx | Apr 22, 2016 | 14 y | 1 |
| J••••• D•••• G•••••Certified Financial Planner | Austin, Tx | Jan 24, 2020 | 16 y | 1 |
| L••• I•••• B••••••Certified Financial Planner | Austin, Tx | Feb 14, 2020 | 17 y | 0 |
| C••••••••• W•••••• S•••••Certified Financial Planner | Austin, Tx | Apr 29, 2021 | 12 y | 2 |
| L••• T•••••Certified Financial Planner | Santa Cruz, Ca | Oct 8, 2021 | 11 y | 0 |
| T••••• D••• B•••••••Certified Financial Planner | Austin, Tx | May 9, 2023 | 11 y | 4 |
| J••••• S•••• M••••Certified Financial Planner | Austin, Tx | Nov 20, 2023 | 11 y | 3 |
| C•••• H••••••Certified Financial Planner | Austin, Tx | Apr 30, 2025 | 11 y | 0 |
| T••••• M••••• | Austin, Tx | Jan 21, 2026 | 10 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- M•••••• J••••• D•••••••• to S••••• W••••• A•••••••• I•••Oct 22, 2025 · Other
- R••••• M•••• T•••• to W•••• F•••••••• G•••• I•••Sep 25, 2025 · RIA to RIA
- J••• D•••• P•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 19, 2021 · RIA to affiliated broker-dealer or bank
- K••• P•••••• W••••• to I••••• E••• C•••••• M••••••••• L••Jun 28, 2019 · RIA to a state-registered adviser
- S•••••• K•••••• L••• to B••••••• W•••••Aug 15, 2006 · Other
Joined, latest
- T••••• M••••• from R•• R••••••••• P••• A•••••••Jan 21, 2026 · Other
- M•••••• J••••• D•••••••• from C•••••• S••••• • C••• I•••Jul 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• S•••• M•••• from A•••••• C•••••• M•••••••••Nov 20, 2023 · RIA to RIA
- T••••• D••• B••••••• from K••••• A••••••• S•••••••• L••May 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• W•••••• S••••• from C•••••• S••••• • C••• I•••Apr 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• D•••• G••••• from C•••••• S••••• • C••• I•••Jan 24, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• A•••• S••••••• from S•••••••• I••••••••• M•••••••••Apr 22, 2016 · Other
- V••••••• M••••• P••••• from C•••••• S••••• • C••• I•••Jan 4, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••• S•••• · Executive Vp Of Wealth Management And Business Strategycontrolsince 06/2004 · owns less than 5%
- N•••••• A••• M•••••• · Executive Vice President Of Operationscontrolsince 06/2011 · owns less than 5%
- S••••••••• B•••••• C•••••• · President / Chief Compliance Officercontrolsince 12/1999 · owns less than 5%
- T••••• R•••••• M•••• · Executive Vice President Of Marketingcontrolsince 08/2001 · owns less than 5%
- S••••••••• B•••••• C•••••• · Managing Membercontrolsince 02/2022 · owns 25% to 50% of R•••••• P• S•••••••• H•••••••
Entity owners
- R•••••• P• S•••••••• H••••••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- R•• R••••••••• P••• A•••••••investment adviserLP sponsornRAUM $336M
- S•••••••• I••••••••• M•••••••••investment adviseryRAUM $40.8M
Advisers that list R•••••• P• S•••••••• A••••••••• I••• as a related person
- 319220 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 14 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,746 to 1,564Oct 22, 2025 to Mar 11, 2026
- HNW clients · 255 to 250Oct 22, 2025 to Mar 11, 2026
- Individual clients · 257 to 207Oct 22, 2025 to Mar 11, 2026
- Employees · 15 to 14Oct 22, 2025 to Mar 11, 2026
- Discretionary RAUM · $836M to $884MOct 22, 2025 to Mar 11, 2026
- HNW RAUM · $751M to $806MOct 22, 2025 to Mar 11, 2026
- Individual RAUM · $101M to $86.2MOct 22, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $27.9M to $20.8MOct 22, 2025 to Mar 11, 2026
- RAUM · $864M to $905MOct 22, 2025 to Mar 11, 2026
- Financial planning clients · 251-500 to 251-500Mar 18, 2025 to May 20, 2025
- Accounts · 1,616 to 1,746Aug 20, 2024 to Mar 18, 2025
- HNW clients · 242 to 255Aug 20, 2024 to Mar 18, 2025
- Individual clients · 273 to 257Aug 20, 2024 to Mar 18, 2025
- Discretionary RAUM · $781M to $836MAug 20, 2024 to Mar 18, 2025
- HNW RAUM · $689M to $751MAug 20, 2024 to Mar 18, 2025
- Individual RAUM · $108M to $101MAug 20, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $16.0M to $27.9MAug 20, 2024 to Mar 18, 2025
- Pension RAUM · unset to 0.0Aug 20, 2024 to Mar 18, 2025
- RAUM · $797M to $864MAug 20, 2024 to Mar 18, 2025
- Advisory employees · 11 to 12Mar 6, 2024 to Aug 20, 2024
- Employees · 14 to 15Mar 6, 2024 to Aug 20, 2024
- State-registered IARs · 13 to 14Mar 6, 2024 to Aug 20, 2024
- Accounts · 1,619 to 1,616Nov 10, 2023 to Mar 6, 2024
- Advisory employees · 10 to 11Nov 10, 2023 to Mar 6, 2024
- HNW clients · 237 to 242Nov 10, 2023 to Mar 6, 2024
- Individual clients · 271 to 273Nov 10, 2023 to Mar 6, 2024
- Employees · 13 to 14Nov 10, 2023 to Mar 6, 2024
- State-registered IARs · 12 to 13Nov 10, 2023 to Mar 6, 2024
- Discretionary RAUM · $740M to $781MNov 10, 2023 to Mar 6, 2024
- HNW RAUM · $669M to $689MNov 10, 2023 to Mar 6, 2024
- Individual RAUM · $86.1M to $108MNov 10, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $14.9M to $16.0MNov 10, 2023 to Mar 6, 2024
- RAUM · $755M to $797MNov 10, 2023 to Mar 6, 2024
- Accounts · 1,602 to 1,619Aug 8, 2023 to Oct 18, 2023
- Advisory employees · 8 to 10Aug 8, 2023 to Oct 18, 2023
- HNW clients · 216 to 237Aug 8, 2023 to Oct 18, 2023
- Individual clients · 292 to 271Aug 8, 2023 to Oct 18, 2023
- Employees · 11 to 13Aug 8, 2023 to Oct 18, 2023
- State-registered IARs · 10 to 12Aug 8, 2023 to Oct 18, 2023
- Discretionary RAUM · $717M to $740MAug 8, 2023 to Oct 18, 2023
Signals
7 dated events
- M•••••• J••••• D•••••••• left R•••••• P• S•••••••• A••••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2026-01-02)Oct 22, 2025 · Advisor changed firm · fact
- R••••• M•••• T•••• left R•••••• P• S•••••••• A••••••••• I••• for W•••• F•••••••• G•••• I••• (registered 2025-08-27)Sep 25, 2025 · Advisor changed firm · fact
- Corbin Barbara Slaughter (Secretary) no longer on Schedule A of R•••••• P• S•••••••• A••••••••• I••• (listed 2022-05-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Elizabeth Kirsten Slaughter (Vice President / Bookkeeper) no longer on Schedule A of R•••••• P• S•••••••• A••••••••• I••• (listed 2022-05-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- R•••••• P• S•••••••• A••••••••• I••• reported RAUM $755.4M, down 33% from $1.1B (2022-04-21 to 2022-05-11)May 11, 2022 · RAUM change · derived
- R•••••• P• S•••••••• A••••••••• I••• reported RAUM $955.4M, up 26% from $757.7M (2021-01-19 to 2021-03-19)Mar 19, 2021 · RAUM change · derived
- R•••••• P• S•••••••• A••••••••• I••• reported RAUM $757.7M, up 49% from $507.4M (2019-10-21 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•••••• P• S•••••••• A••••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 800-821-5610reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-918-0000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/richard-p--slaughter-associates-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- rpswealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-918-0000reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- rpswealthadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rpswealthadvisors.com/team-member/darby-armontreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $64.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026