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Robert Paul Rathbun

SPRING CAPITAL MANAGEMENT
AMARILLO, TX
·CRD# 1018350·45 years experience

Professional Summary

Robert Paul Rathbun, who also goes by Robert P Rathbun, is a registered financial advisor currently at SPRING CAPITAL MANAGEMENT located in Amarillo, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Amarillo, Texas. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 3, Series 7, Series 10,...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert P Rathbun

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

SPRING CAPITAL MANAGEMENT·CRD# 282842
RIA
600 S. Tyler Suite 1515, Amarillo, TX 79101
February 18, 2017 - Present
PURSHE KAPLAN STERLING INVESTMENTS·CRD# 35747
BD
600 S. Tyler Suite 1515, Amarillo, TX 79101
February 24, 2014 - Present
FORTITUDE ADVISORY GROUP L.L.C.·CRD# 116083
RIA
Gig Harbor, WA
May 3, 2010 - June 6, 2017
ARGENTUS SECURITIES, LLC·CRD# 45915
BD
Amarillo, TX
May 3, 2010 - February 28, 2014
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Amarillo, TX
January 1, 2008 - May 5, 2010
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Amarillo, TX
January 1, 2008 - May 5, 2010
A. G. EDWARDS & SONS, INC.·CRD# 4
RIA
Amarillo, TX
October 9, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
Amarillo, TX
July 15, 1986 - January 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
November 17, 1981 - July 31, 1986

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Current Firm

SC
SPRING CAPITAL MANAGEMENT

SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT

CRD#: 282842 / SEC#: 801-119676
RIA
Registered Investment Advisory firm - SEC (10/23/2020 Approved)
Texas
Registered Investment Advisory firm - Texas (10/26/2020 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

600 S. Tyler Suite 1515, Amarillo, TX 79101

Phone Number

(806) 322-5000

# of Employees

2

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2AB (2/24/2026)

Regulatory Assets Under Management

Total Number of Accounts

316

AUM (Assets Under Management)

$223,042,193

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) the name of the other business: Insurance Sales; whether the business is investment-related: No; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Licensed to sell FIXED INSURANCE AND ANNUITIES, INCLUDING EQUITY INDEXED ANNUITIES; the start date of your relationship: 2007; the approximate number of hours/month you devote to the other business: 2-10; the number of hours you devote to the other business during securities trading hours: 2-10; and briefly describe your duties relating to the other business: Insurance sales. || 2) the name of the other business: Sage Asset Management, LLC; whether the business is investment-related: Yes; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Owner. Operates under Spring Capital Management and is the name under which advisory services are offered by Bob Rathbun; the start date of your relationship: 2010; the approximate number of hours/month you devote to the other business: all; the number of hours you devote to the other business during securities trading hours: All; and briefly describe your duties relating to the other business: Owner of LLC. 3. WTAMU College of Fine Arts and Humanities. Not Investment Related. 2501 4th Avenue, Canyon, TX 79015. University College. Advisory Board Member. 2015. 10 Hrs/Mo; 4 Hrs During Trading Hours. Advisory Board Member.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SPRING CAPITAL MANAGEMENT

SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT

CRD#: 282842 / SEC#: 801-119676
RIA
Registered Investment Advisory firm - SEC (10/23/2020 Approved)
Texas
Registered Investment Advisory firm - Texas (10/26/2020 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(1/7/2022)
RR
California
(2/24/2014)
RR
Colorado
(2/24/2014)
RR
Montana
(1/31/2022)
RR
Oregon
(2/24/2014)
RR
Texas
(2/24/2014)
IAR
Texas
(2/18/2017)
RR
Washington
(2/24/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1981About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Feb 2009About the Series 31 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1986About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1981About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Apr 1992
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Robert Paul Rathbun's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RR
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