Robert Rathbun
Robert Rathbun is a registered investment advisor at Spring Capital Management, based in Amarillo, TX, with 44 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 139 clients with $220M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Spring Capital manages assets through a wrap fee program. Clients referred to third-party money managers will pay a fee of 0.35% to 0.7% to the money manager, depending on the strategy, and a fee of 0.3% to 1.1% to Mr. Rathbun, which is negotiable. The total fee will not exceed 1.8%. Mr. Rathbun's fees are charged quarterly, in advance, based on the average daily balance of the assets in the account.
Location
600 S. Tyler, Suite 1515, Amarillo, TX, 79101
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Robert is licensed to sell fixed insurance and annuities, including equity indexed annuities, dedicating a few hours per week. He also owns Sage Asset Management, LLC, operating under Spring Capital Management, which takes up all of his time, and is an advisory board member for WTAMU College of Fine Arts and Humanities, dedicating a few hours per week.
Employment History
Current Registrations
Spring Capital Management
Purshe Kaplan Sterling Investments
Purshe Kaplan Sterling InvestmentsBroker
Previous Registrations
Argentus Advisors, LLC
Argentus Securities, LLCBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.