Frederick W. Lear

LEAR INVESTMENT MANAGEMENT

Dallas, TX 75219

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CRD#: 2797286

Professional summary

Frederick Wayne Lear JR, who also goes by Rick Lear, is a registered financial advisor currently at LEAR INVESTMENT MANAGEMENT located in Dallas, Texas.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Frederick has worked at 6 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Lear

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 name of the other business: LIM Technologies; whether the business is investment-related: No; the address of the other business; Same as Adviser; the nature of the other business: Financial Services mobile device application and messaging service; your position: Founder and Owner; title, or relationship with the other business: Manager; the start date of your relationship: 2018; the approximate number of hours/month you devote to the other business: Varies; the number of hours you devote to the other business during securities trading hours: Varies; and briefly describe your duties relating to the other business: Oversight of operations;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Wayne Lear JR'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 12, 2015 - Present

LEAR INVESTMENT MANAGEMENT

Office #1: 2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

RIA

CRD#: 174119

Dallas, TX

Past

August 31, 2009 - January 28, 2015

SLOAN INVESTMENT MANAGEMENT, L.L.C.

RIA

CRD#: 142276

DALLAS, TX

Past

April 28, 2004 - August 26, 2009

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

DALLAS, TX

Past

March 15, 2004 - August 26, 2009

NEUBERGER BERMAN BD LLC

CRD#: 2908

DALLAS, TX

Past

November 27, 2001 - January 22, 2004

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

July 3, 1997 - August 31, 1999

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

October 23, 1996 - July 9, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 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
(1/12/2015)

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

Series 63

Date: 11/30/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/20/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 11/12/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/22/1996

General Securities Representative Examination

Current Firm

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 Terminated)

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Contact information

Main Address

2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

Mailing Address

Phone number

(214) 445-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/28/2025)

JIM WARNER PART 2B (3/25/2025)

RICK LEAR PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 805,713,943

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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Frederick W. Lear

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Wayne Lear JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SLOAN INVESTMENT MANAGEMENT, L.L.C.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LEAR INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2001

Series 65

Date: 11/20/1996

Series 31

Date: 11/12/1996

Series 7

Date: 10/22/1996

Current Firm

LEAR INVESTMENT MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEAR INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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