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Frederick Wayne Lear Jr

LEAR INVESTMENT MANAGEMENT
DALLAS, TX
·CRD# 2797286·30 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Rick Lear

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

30 years in the financial services industry

Current & Past Employments

LEAR INVESTMENT MANAGEMENT·CRD# 174119
RIA
2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219
January 12, 2015 - Present
SLOAN INVESTMENT MANAGEMENT, L.L.C.·CRD# 142276
RIA
Dallas, TX
August 31, 2009 - January 28, 2015
NEUBERGER BERMAN BD LLC·CRD# 2908
RIA
Dallas, TX
April 28, 2004 - August 26, 2009
NEUBERGER BERMAN BD LLC·CRD# 2908
BD
Dallas, TX
March 15, 2004 - August 26, 2009
SANFORD C. BERNSTEIN & CO., LLC·CRD# 104474
BD
Nashville, TN
November 27, 2001 - January 22, 2004
SANFORD C. BERNSTEIN & CO., INC.·CRD# 1232
BD
New York, NY
July 3, 1997 - August 31, 1999
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
October 23, 1996 - July 9, 1997

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Current Firm

LI
LEAR INVESTMENT MANAGEMENT

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

CRD#: 174119 / SEC#: 801-110851
RIA
Registered Investment Advisory firm - SEC (7/21/2017 Approved)
Texas
Registered Investment Advisory firm - Texas (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).

Contact Information

Main Address

2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

Phone Number

(214) 445-5900

# of Employees

7

SEC notice filing (12 States and Territories)

Registered to provide investment advisory services in 12 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

945

AUM (Assets Under Management)

$1,240,034,033

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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.

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;

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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".
LI
LEAR INVESTMENT MANAGEMENT

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

CRD#: 174119 / SEC#: 801-110851
RIA
Registered Investment Advisory firm - SEC (7/21/2017 Approved)
Texas
Registered Investment Advisory firm - Texas (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.
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

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 2001About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 1996About the Series 65 exam

Series 31 — Futures Managed Funds Examination

Passed Nov 1996About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Oct 1996About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

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