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Richard P Slaughter Associates Inc — 13F Holdings & Portfolio

CIK 1811783 · latest 13F-HR filed 2026-10-13

Backtest portfolio

Richard P Slaughter Associates Inc manages $506.0M in 13F-reported U.S. long-equity assets across 117 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IWX (11.82%), FMDE (10.69%), JIRE (10.42%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 13 new positions and exited 5; 21 existing positions rose in reported value and 45 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$506.0M

Long-equity book

Holdings
117

Distinct positions

Period
2026-09-30

Filed 2026-10-13

Q/Q Activity
+13 / −5 / ↑21 / ↓45

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
IWX12.0% · +6%FMDE10.8% · -6%JIRE10.6% · -19%IWY7.3% · -6%ACYS3.9% · +26%GSSC3.9% · -6%AIQ3.8% · +4%IEMG3.2% · +7%CSHI2.9% · -30%UYLD2.8% · -34%XCEM2.5% · -4%AAPL2.5% · -11%FNDF2.3% · +46%GRID2.1% · +25%NVDA1.6% · -3%IQLT1.5% · -15%MGK1.5% · -9%CORO1.4% · +89%TMSL1.3% · +60%GOOG1.1% · -1%GLDM1.0% · +2%MSFT1.0% · -4%ZROZ1.0% · newMGV1.0% · +3%NN0.9% · newIWM0.8% · -12%AVGO0.7% · +1%XOM0.6% · -2%VEU0.6% · -16%AVEE0.6% · +43%IWR0.6% · -12%AMZN0.6% · -7%IEFA0.5% · -9%SPY0.5% · +5107%EFIV0.4% · -4%JMST0.4% · -30%HMOP0.4% · -2%MEAR0.4% · -32%JPST0.3% · -9%ESGD0.3% · -12%BRK.B0.3% · +3%TSM0.3% · +0%JPM0.3% · +1%JNJ0.3% · -4%TSLA0.3% · -19%GSIE0.3% · -1%MINT0.2% · -19%DFAC0.2% · 0%VOO0.2% · 0%EMXC0.2% · newVTI0.2% · -5%JPME0.2% · -2%PEP0.2% · newMETA0.2% · -24%VOT0.2% · -22%PCOR0.2% · 0%WMT0.2% · +0%JBL0.2% · 0%VWO0.2% · -2%VOE0.2% · -10%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 61.1%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Aug 27, 2026.

Assets Under Management
$905.2M
Discretionary
$884.4M
Employees
14
Accounts
1,564
Address
9600 NORTH MOPAC
SUITE 600
AUSTIN, TX 78759
Phone
(512) 918-0000
Website
Name Title / Status Ownership Type
ARMONT, DARBY, SUGGS ControlCHIEF EXECUTIVE OFFICER
since Jul 2026
5–10%Individual
NOWELL, ANN, MICHELE ControlCHIEF OPERATING OFFICER
since Jul 2026
Less than 5%Individual
RICHARD P. SLAUGHTER HOLDINGS, LLC ControlHOLDING COMPANY
since Jan 2022
75% or moreDomestic Entity
SHERRARD, JAMES, ALLEN ControlEXECUTIVE VICE PRESIDENT OF INVESTMENTS
since Dec 2025
Less than 5%Individual
SLAUGHTER, BROOKS, COLLIER ControlCHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER
since Jul 2026
25–50%Individual
SLAUGHTER, BROOKS, COLLIER Control
Indirect owner via RICHARD P. SLAUGHTER HOLDINGS, LLC
MANAGING MEMBER
since Feb 2022
25–50%Individual
Ownership & leadership changes · 9 filings with changes since Mar 30, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Jul 31, 2026 filing
  • AddedSHERRARD, JAMES, ALLEN · EXECUTIVE VICE PRESIDENT OF INVESTMENTS · Less than 5% · control person
  • ChangedARMONT, DARBY, SUGGS · title EXECUTIVE VP OF WEALTH MANAGEMENT AND BUSINESS STRATEGY → CHIEF EXECUTIVE OFFICER; ownership Less than 5% → 5–10%
  • ChangedNOWELL, ANN, MICHELE · title EXECUTIVE VICE PRESIDENT OF OPERATIONS → CHIEF OPERATING OFFICER
  • ChangedSLAUGHTER, BROOKS, COLLIER · title PRESIDENT / CHIEF COMPLIANCE OFFICER → CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER; ownership Less than 5% → 25–50%
Sep 25, 2025 filing
  • No longer listedTABOR, ROBERT, MILES · EXECUTIVE VICE PRESIDENT OF MARKETING · Less than 5% · control person · listed since Aug 2001
Mar 18, 2025 filing
  • No longer listedRICHARD P. SLAUGHTER HOLDINGS · HOLDING COMPANY · 75% or more · control person · listed since Jan 2022
  • No longer listedSLAUGHTER, BROOKS, COLLIER · MANAGING MEMBER · 25–50% · indirect via RICHARD P. SLAUGHTER HOLDINGS · control person · listed since Feb 2022
  • AddedRICHARD P. SLAUGHTER HOLDINGS, LLC · HOLDING COMPANY · 75% or more · control person
  • AddedSLAUGHTER, BROOKS, COLLIER · MANAGING MEMBER · 25–50% · indirect via RICHARD P. SLAUGHTER HOLDINGS, LLC · control person
Mar 28, 2023 filing
  • No longer listedSLAUGHTER, BARBARA, CORBIN · SECRETARY · 10–25% · control person · listed since Jan 1991
  • No longer listedSLAUGHTER, KIRSTEN, ELIZABETH · VICE PRESIDENT / BOOKKEEPER · 10–25% · control person · listed since Dec 1999
  • ChangedARMONT, DARBY, SUGGS · ownership 5–10% → Less than 5%
  • ChangedSLAUGHTER, BROOKS, COLLIER · title PRESIDENT / CEO/CHIEF COMPLIANCE OFFICER/CHAIRMAN OF THE BOARD → PRESIDENT / CHIEF COMPLIANCE OFFICER; ownership 25–50% → Less than 5%
May 11, 2022 filing
  • AddedRICHARD P. SLAUGHTER HOLDINGS · HOLDING COMPANY · 75% or more · control person
  • AddedSLAUGHTER, BROOKS, COLLIER · MANAGING MEMBER · 25–50% · indirect via RICHARD P. SLAUGHTER HOLDINGS · control person
Aug 24, 2020 filing
  • ChangedARMONT, DARBY, SUGGS · title VICE PRESIDENT → EXECUTIVE VP OF WEALTH MANAGEMENT AND BUSINESS STRATEGY
  • ChangedNOWELL, ANN, MICHELE · title VICE PRESIDENT → EXECUTIVE VICE PRESIDENT OF OPERATIONS
  • ChangedTABOR, ROBERT, MILES · title VICE PRESIDENT → EXECUTIVE VICE PRESIDENT OF MARKETING
Jun 22, 2015 filing
  • ChangedSLAUGHTER, BARBARA, CORBIN · ownership 25–50% → 10–25%
  • ChangedTABOR, ROBERT, MILES · ownership 5–10% → Less than 5%
Mar 27, 2015 filing
  • No longer listedSLAUGHTER, RICHARD, POLK · BOARD MEMBER · 10–25% · control person · listed since Jan 1991
  • ChangedSLAUGHTER, BARBARA, CORBIN · ownership 10–25% → 25–50%
Jun 30, 2014 filing
  • ChangedSLAUGHTER, BROOKS, COLLIER · title PRESIDENT / CEO/CHIEF COMPLIANCE OFFICER → PRESIDENT / CEO/CHIEF COMPLIANCE OFFICER/CHAIRMAN OF THE BOARD
  • ChangedSLAUGHTER, RICHARD, POLK · title CHAIRMAN OF THE BOARD → BOARD MEMBER
Mar 30, 2012 filing (earliest on record)
  • ListedARMONT, DARBY, SUGGS · VICE PRESIDENT · 5–10% · control person
  • ListedNOWELL, ANN, MICHELE · VICE PRESIDENT · Less than 5% · control person
  • ListedSLAUGHTER, BARBARA, CORBIN · SECRETARY · 10–25% · control person
  • ListedSLAUGHTER, BROOKS, COLLIER · PRESIDENT / CEO/CHIEF COMPLIANCE OFFICER · 25–50% · control person
  • ListedSLAUGHTER, KIRSTEN, ELIZABETH · VICE PRESIDENT / BOOKKEEPER · 10–25% · control person
  • ListedSLAUGHTER, RICHARD, POLK · CHAIRMAN OF THE BOARD · 10–25% · control person
  • ListedTABOR, ROBERT, MILES · VICE PRESIDENT · 5–10% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Richard P Slaughter Associates Inc Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR IWX 464289420 $59.8M 11.82% 546,002 SH
2 FIDELITY COVINGTON TRUST FMDE 31609A503 $54.1M 10.69% 1,339,488 SH
3 J P MORGAN EXCHANGE TRADED F JIRE 46641Q134 $52.7M 10.42% 641,488 SH
4 ISHARES TR IWY 464289438 $36.5M 7.20% 123,621 SH
5 FIRST TR EXCHANGE-TRADED FD ACYS 33733E641 $19.6M 3.87% 951,406 SH
6 GOLDMAN SACHS ETF TR GSSC 381430602 $19.6M 3.87% 228,206 SH
7 GLOBAL X FDS AIQ 37954Y632 $18.9M 3.74% 290,629 SH
8 ISHARES INC IEMG 46434G103 $15.8M 3.11% 194,152 SH
9 NEOS ETF TRUST CSHI 78433H501 $14.6M 2.89% 294,243 SH
10 ANGEL OAK FUNDS TRUST UYLD 03463K752 $13.7M 2.72% 270,951 SH
11 COLUMBIA ETF TR II XCEM 19762B202 $12.7M 2.51% 246,967 SH
12 APPLE INC AAPL 037833100 $12.4M 2.44% 37,109 SH
13 SCHWAB STRATEGIC TR FNDF 808524755 $11.5M 2.27% 213,568 SH
14 FIRST TR EXCHANGE-TRADED FD GRID 33737A108 $10.5M 2.08% 59,337 SH
15 NVIDIA CORPORATION NVDA 67066G104 $8.2M 1.62% 35,898 SH
16 ISHARES TR IQLT 46434V456 $7.5M 1.48% 151,127 SH
17 VANGUARD WORLD FD MGK 921910816 $7.3M 1.43% 78,263 SH
18 BLACKROCK ETF TRUST CORO 09290C764 $7.1M 1.40% 194,677 SH
19 T ROWE PRICE EXCHANGE-TRADED TMSL 87283Q826 $6.3M 1.25% 155,684 SH
20 ALPHABET INC GOOG 02079K107 $5.4M 1.07% 15,876 SH
21 WORLD GOLD TR GLDM 98149E303 $5.2M 1.03% 63,731 SH
22 MICROSOFT CORP MSFT 594918104 $5.2M 1.02% 10,061 SH
23 PIMCO ETF TR ZROZ 72201R882 $5.0M 1.00% 93,433 SH
24 VANGUARD WORLD FD MGV 921910840 $4.8M 0.95% 29,755 SH
25 NEXTNAV INC NN 65345N106 $4.3M 0.85% 300,000 SH
26 ISHARES TR IWM 464287655 $4.2M 0.84% 15,224 SH
27 BROADCOM INC AVGO 11135F101 $3.7M 0.73% 10,546 SH
28 EXXONMOBIL HOLDINGS CORP XOM 30233Q108 $3.2M 0.63% 19,642 SH
29 VANGUARD INTL EQUITY INDEX F VEU 922042775 $3.1M 0.62% 37,558 SH
30 AMERICAN CENTY ETF TR AVEE 025072141 $3.1M 0.61% 45,124 SH
31 ISHARES TR IWR 464287499 $2.9M 0.58% 27,633 SH
32 AMAZON COM INC AMZN 023135106 $2.9M 0.58% 11,779 SH
33 STATE STR SPDR S&P 500 ETF T Call SPY 78462F103 $2.7M 0.54% 3,600 SH
34 ISHARES TR IEFA 46432F842 $2.6M 0.51% 26,506 SH
35 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $2.3M 0.45% 2,968 SH
36 SPDR SERIES TRUST EFIV 78468R531 $2.1M 0.42% 28,540 SH
37 J P MORGAN EXCHANGE TRADED F JMST 46641Q654 $2.1M 0.42% 41,663 SH
38 HARTFORD FDS EXCHANGE TRADED HMOP 41653L503 $2.0M 0.40% 55,438 SH
39 ISHARES U S ETF TR MEAR 46431W838 $2.0M 0.40% 40,955 SH
40 J P MORGAN EXCHANGE TRADED F JPST 46641Q837 $1.6M 0.32% 32,305 SH
41 ISHARES TR ESGD 46435G516 $1.6M 0.31% 15,166 SH
42 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $1.4M 0.28% 2,862 SH
43 TAIWAN SEMICONDUCTOR MANUFAC TSM 874039100 $1.4M 0.28% 3,113 SH
44 JPMORGAN CHASE & CO JPM 46625H100 $1.3M 0.26% 3,987 SH
45 JOHNSON & JOHNSON JNJ 478160104 $1.3M 0.26% 4,926 SH
46 TESLA INC TSLA 88160R101 $1.3M 0.26% 3,669 SH
47 GOLDMAN SACHS ETF TR GSIE 381430107 $1.3M 0.25% 27,487 SH
48 PIMCO ETF TR MINT 72201R833 $1.2M 0.23% 11,518 SH
49 DIMENSIONAL ETF TRUST DFAC 25434V708 $1.1M 0.22% 25,188 SH
50 VANGUARD INDEX FDS VOO 922908363 $1.1M 0.22% 1,568 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-13 $506.0M 117 0001811783-26-000006
2026-06-30 2026-07-13 $510.1M 109 0001811783-26-000004
2026-03-31 2026-04-13 $462.7M 99 0001811783-26-000003
2025-12-31 2026-01-12 $477.1M 109 0001811783-26-000001
Filer Information
Address
9600 N MOPAC EXPY
SUITE 600
AUSTIN, TX 78759
Phone
(512) 918-0000
Filing Manager
Richard P Slaughter Associates Inc
AUSTIN, TX
Signatory
Brooks Slaughter
Chief Compliance Officer