Thomas N. Moore

RWM CAPITAL

SUGAR LAND, TX 77478

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CRD#: 7411807

Professional summary

Thomas Nolan Terrell Moore III, who also goes by Thomas Nolan Terrell Moore, is a registered financial advisor currently at RWM CAPITAL, LLC located in Sugar Land, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Thomas has worked at 3 firms and has passed the Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Nolan Terrell Moore

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.

(1) 07/11/2022 - Roberts Wealth Management, LLC - Investment Related - 1650 Highway 6 - Suite 250, Sugar Land, TX 77478; Independent Insurance Agent and Tax Specialist; Approx. 80 hours/mo. during trading hours; Insurance, Tax and Financial Planning Services; Duties include providing insurance and annuity solutions, tax/financial planning, and reviewing plans with clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nolan Terrell Moore III'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

October 6, 2023 - Present

RWM CAPITAL, LLC

Office #1: 1650 Highway 6 Suite 250, Sugar Land, TX 77478

RIA

CRD#: 310635

SUGAR LAND, TX

Past

November 7, 2022 - October 30, 2024

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

Mobile, AL

Past

April 25, 2022 - July 11, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

MOBILE, AL

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".

RWM CAPITAL, LLC

ROBERTS WEALTH MANAGEMENT, LLC | RWM CAPITAL, LLC

CRD#: 310635 / SEC#: 801-119513

RIA

Registered Investment Advisory firm - (9/21/2020 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

Alabama
(12/3/2024)

IAR

Louisiana
(10/6/2023)

IAR

Mississippi
(10/6/2023)

IAR

Texas
(10/6/2023)

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: 11/7/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/30/2021

Securities Industry Essentials Examination

Current Firm

RWM CAPITAL, LLC

ROBERTS WEALTH MANAGEMENT, LLC | RWM CAPITAL, LLC

CRD#: 310635 / SEC#: 801-119513

RIA

Registered Investment Advisory firm - (9/21/2020 Approved)

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Contact information

Main Address

1650 Highway 6 Suite 250, Sugar Land, TX 77478

Mailing Address

2555 Marshall Road Suite C-1, Biloxi, MS 39531

Phone number

(832) 981-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/11/2025)

Regulatory assets under management

Total Number of Accounts	2,096
AUM (Assets Under Management)	$ 161,362,901

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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Thomas N. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nolan Terrell Moore III's CRS (Customer Relationship Summary).

Certified licenses

Experience

RWM CAPITAL, LLC

FOUNDATIONS INVESTMENT ADVISORS LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

RWM CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/2022

Series 7TO

Date: 4/25/2022

SIE

Date: 11/30/2021

Current Firm

RWM CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RWM CAPITAL, LLC

TRUST BUT VERIFY

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