Richard T. Lauer

LAUER CAPITAL MANAGEMENT LTD

SIOUX FALLS, SD 57105

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CRD#: 2096666

Professional summary

Richard Thomas Lauer is a registered financial advisor currently at LAUER CAPITAL MANAGEMENT LTD located in Sioux Falls, South Dakota.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Richard has worked at 3 firms and has passed the Series 65, Series 63 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 Richard Thomas Lauer'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

January 8, 2003 - Present

LAUER CAPITAL MANAGEMENT LTD

Office #1: 1720 S. Spring Avenue, Sioux Falls, SD 57105

RIA

CRD#: 109660

SIOUX FALLS, SD

Past

September 29, 1994 - December 15, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

August 9, 1991 - September 13, 1994

PIPER SANDLER & CO.

CRD#: 665

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".

LAUER CAPITAL MANAGEMENT LTD

LAUER CAPITAL MANAGEMENT LTD | LAUER, FROMELT CAPITAL MANAGEMENT LTD. | LAUER CAPITAL MANAGEMENT LTD.

CRD#: 109660 / SEC#: 801-48112

RIA

Registered Investment Advisory firm - (12/23/1994 Approved)

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

South Dakota
(1/8/2003)

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 65

Date: 12/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/2/1991

General Securities Representative Examination

Current Firm

LAUER CAPITAL MANAGEMENT LTD

LAUER CAPITAL MANAGEMENT LTD | LAUER, FROMELT CAPITAL MANAGEMENT LTD. | LAUER CAPITAL MANAGEMENT LTD.

CRD#: 109660 / SEC#: 801-48112

RIA

Registered Investment Advisory firm - (12/23/1994 Approved)

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Contact information

Main Address

1720 S. Spring Avenue, Sioux Falls, SD 57105

Mailing Address

Phone number

(605) 357-8088

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

LAUER CAPITAL MANAGEMENT LTD. ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 329,628,857

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard T. Lauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Thomas Lauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAUER CAPITAL MANAGEMENT LTD

RAYMOND JAMES FINANCIAL SERVICES, INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

LAUER CAPITAL MANAGEMENT LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/1994

Series 63

Date: 10/28/1991

Series 7

Date: 7/2/1991

Current Firm

LAUER CAPITAL MANAGEMENT LTD

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUER CAPITAL MANAGEMENT LTD

TRUST BUT VERIFY

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