Jonathan A. Richards

ROBERTSON OPPORTUNITY CAPITAL

Dallas, TX 75225

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CRD#: 1024642

Professional summary

Jonathan Arthur Richards is a registered financial advisor currently at ROBERTSON OPPORTUNITY CAPITAL, LLC located in Dallas, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Jonathan has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Arthur Richards's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 25, 2016 - Present

ROBERTSON OPPORTUNITY CAPITAL, LLC

Office #1: 8117 Preston Road Suite 675, Dallas, TX 75225

RIA

CRD#: 118484

Dallas, TX

Past

July 22, 2015 - April 13, 2016

GAR WOOD SECURITIES, LLC

CRD#: 138033

Dallas, TX

Past

August 13, 2014 - May 5, 2015

COMMERCE STREET CAPITAL, LLC

CRD#: 143797

DALLAS, TX

Past

January 3, 2007 - September 9, 2009

EDI FINANCIAL, INC.

CRD#: 15699

IRVING, TX

Past

July 20, 2005 - May 25, 2010

DOUBLE HORN GENPAR, INC.

RIA

CRD#: 135157

AUSTIN, TX

Past

March 10, 2005 - December 2, 2005

DOUBLE HORN FUND MANAGEMENT

RIA

CRD#: 133671

AUSTIN, TX

Past

January 25, 2005 - December 31, 2006

BURCH CAPITAL MANAGEMENT, INC.

CRD#: 28095

AUSTIN, TX

Past

April 6, 1998 - November 11, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

July 2, 1996 - April 6, 1998

WESSELS, ARNOLD & HENDERSON, L.L.C.

CRD#: 17914

MINNEAPOLIS, MN

Past

August 26, 1994 - July 8, 1996

BURCH CAPITAL MANAGEMENT, INC.

CRD#: 28095

DALLAS, TX

Past

November 8, 1989 - December 2, 1992

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

February 16, 1989 - October 30, 1989

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

Past

September 4, 1986 - January 4, 1988

WILLIAM K. WOODRUFF & COMPANY INCORPORATED

CRD#: 10324

Past

January 21, 1982 - September 3, 1986

WEBER, HALL, SALE & ASSOCIATES, INC.

CRD#: 876

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".

ROBERTSON OPPORTUNITY CAPITAL, LLC

RICHMONT INVESTMENT MANAGEMENT LLC | ROBERTSON OPPORTUNITY CAPITAL, LLC | ROBERTSON OPPORTUNITY CAPITAL PARTNERS, LLC | ROBERTSON OPPORTUNITY CAPITAL PARTNERS, L.P. (RELYING ADVISER) | ROBERTSON OPPORTUNITY CAPITAL

CRD#: 118484 / SEC#: 801-65108

RIA

Registered Investment Advisory firm - (1/13/2006 Approved)

Texas

Registered Investment Advisory firm - (2/24/2006 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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/25/2016)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/19/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Current Firm

ROBERTSON OPPORTUNITY CAPITAL, LLC

CRD#: 118484 / SEC#: 801-65108

RIA

Registered Investment Advisory firm - (1/13/2006 Approved)

Texas

Registered Investment Advisory firm - (2/24/2006 Terminated)

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Contact information

Main Address

8117 Preston Road Suite 675, Dallas, TX 75225

Mailing Address

Phone number

(972) 713-5001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON OPPORTUNITY CAPITAL, LLC ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 313,228,065

Red Flags

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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Firm Stability Insights

Jonathan A. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Arthur Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAR WOOD SECURITIES, LLC

COMMERCE STREET CAPITAL, LLC

EDI FINANCIAL, INC.

DOUBLE HORN GENPAR, INC.

DOUBLE HORN FUND MANAGEMENT

BURCH CAPITAL MANAGEMENT, INC.

RBC CAPITAL MARKETS, LLC

WESSELS, ARNOLD & HENDERSON, L.L.C.

BURCH CAPITAL MANAGEMENT, INC.

ALEX. BROWN & SONS INCORPORATED

WILLIAM O'NEIL SECURITIES

WILLIAM K. WOODRUFF & COMPANY INCORPORATED

WEBER, HALL, SALE & ASSOCIATES, INC.

Primary Firm SEC Registration

ROBERTSON OPPORTUNITY CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2014

Series 65

Date: 1/11/2005

Series 63

Date: 10/20/1982

SIE

Date: 4/13/2016

Series 7

Date: 1/16/1982

Current Firm

ROBERTSON OPPORTUNITY CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON OPPORTUNITY CAPITAL, LLC

TRUST BUT VERIFY

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