James Sherrard
James Sherrard is a CFA, CFP-designated registered investment advisor at Richard P. Slaughter Associates, INC., based in Austin, TX, with 14 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Corporate Executives, Estate Planning, High Net Worth, and 5 more. Their firm serves 457 clients with $910M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $20.0M | 0.55% |
| $20.0M - $40.0M | 0.45% |
| $40M+ | 0.35% |
Fees are negotiable at the firm's sole discretion based on factors such as assets managed, portfolio composition, scope of engagement, and servicing needs. Minimum quarterly household fee is $3,125.
Fee Estimator
Location
9600 North Mopac, Suite 600, Austin, TX, 78759
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James works as an Investment Analyst for both Richard P. Slaughter Associates, Inc. and Strategic Investment Management, dedicating the majority of his time to the former. He performs investment research, analysis, and trading for both registered investment advisors.
Employment History
Current Registrations
Richard P. Slaughter Associates, INC.
Previous Registrations
Strategic Investment Management
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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