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AR

Adam C. Rich

SCHLINDWEIN ASSOCIATES
DALLAS, TX 75206
Some features on this profile are disabled
CRD#: 2952627
AR

Professional summary

Adam Carter Rich is a registered financial advisor currently at SCHLINDWEIN ASSOCIATES LLC located in Dallas, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Adam has worked at 5 firms and has passed the Series 63, Series 7 and Series 9 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 Adam Carter Rich'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

November 14, 2013 - Present

SCHLINDWEIN ASSOCIATES LLC

Office #1: 5910 North Central Expressway Suite 770, Dallas, TX 75206
RIA
CRD#: 109132
DALLAS, TX
Past

February 15, 2012 - November 11, 2013

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

January 3, 2012 - November 11, 2013

MOMENTUM INDEPENDENT NETWORK INC.

RIA
CRD#: 17587
DALLAS, TX
Past

January 29, 2008 - November 7, 2013

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

June 27, 2007 - November 7, 2013

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
DALLAS, TX
Past

September 26, 2006 - July 3, 2007

RAA WEALTH MANAGEMENT, LLC

RIA
CRD#: 141526
DALLAS, TX
Past

May 24, 1999 - October 2, 2006

RETIREMENT ADVISORS OF AMERICA

RIA
CRD#: 106968
DALLAS, TX

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".
SA
SCHLINDWEIN ASSOCIATES LLC
SCHLINDWEIN ASSOCIATES LLC

CRD#: 109132 / SEC#: 801-57433

RIA
Registered Investment Advisory firm - (4/7/2000 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
Illinois
(11/15/2013)
IAR
Texas
(11/14/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 3/31/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/14/2009
General Securities Sales Supervisor - Options Module Examination

Current Firm

SA
SCHLINDWEIN ASSOCIATES LLC
SCHLINDWEIN ASSOCIATES LLC

CRD#: 109132 / SEC#: 801-57433

RIA
Registered Investment Advisory firm - (4/7/2000 Approved)
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Contact information

Main Address
1717 Main Street Suite 3975, Dallas, TX 75201
Mailing Address
Phone number
(469) 385-7040
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE SUPPLEMENT (3/31/2025)
ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts429
AUM (Assets Under Management)$ 195,754,461

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/14/2026
Cover Page
Report
02/28/2025
Cover Page
Report
01/18/2024
Cover Page
Report
03/20/2023
Cover Page
Report

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.

Company Information

SCHLINDWEIN ASSOCIATES LLC

CRD#: 109132Dallas, TX 75206

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