Rick Lear

Founder and Chief Investment Officer

Rick Lear is the Founder and Chief Investment Officer of Lear Investment Management (“LIM”), an SEC-registered investment adviser. With three decades of experience in asset management, Mr. Lear built LIM around a single conviction: disciplined identification of durable global themes - implemented tactically and supported by rigorous analysis - can shape long-term portfolio outcomes. His research approach integrates fundamental insight with quantitative methods; a combination refined across his career at some of the industry’s most respected firms.

Mr. Lear serves as CIO of the firm’s Global Vigilance strategies. The Global Vigilance Conservative strategy has been recognized by Informa PSN as a Top Guns Manager of the Decade in the Global/International Balanced Universe. The Global Vigilance Tilt strategy received an Overall 5-Star Morningstar Rating™ in the Tactical Allocation SMA category.

Mr. Lear’s perspectives on markets and portfolio construction have been published in Barron’s and cited in The Wall Street Journal.

Earlier in his career, Mr. Lear was a Vice President at Neuberger Berman and a Senior Analyst at Sanford C. Bernstein & Co.  He also served at U.S. Trust as a Portfolio Manager on a team responsible for a multi-billion-dollar quantitative equity strategy—the foundation of the systematic discipline that continues to inform his process today.

A lifelong student of the markets, Mr. Lear is a graduate of Southern Methodist University and the Securities Industry Institute at The Wharton School of the University of Pennsylvania, and he has completed an executive education program at Harvard Business School focused on India. He resides in his hometown of Dallas with his wife, Laura, and their four children.

Important Disclosures

PSN Top Guns – Manager of the Decade

The PSN Top Gun rating for the Lear Global Vigilance Conservative strategy was awarded on 02/18/2026 by Informa Financial Intelligence (“PSN”). The Manager of the Decade designation covers the period 02/02/2015 – 12/31/2025 and was determined within the Global/International Balanced Universe. The complete list of PSN Top Guns and an overview of the methodology are available at https://psn.fi.informais.com/PSNTopGuns/topguns_zephyr.asp. Lear Investment Management does not compensate PSN to be evaluated or ranked but does license the use of logos and graphics. Awards and rankings are not indicative of future performance. Past performance is no guarantee of future results.

Morningstar Rating™

As of 12/31/2025, the Lear Global Vigilance Tilt strategy received an Overall 3-Year Morningstar Rating™ of 5 stars, ranked #5 out of 365 strategies in the Tactical Allocation SMA category.

© 2026 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete, or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results.

The Morningstar Rating™ for funds, or “star rating,” is calculated for managed products (including mutual funds, variable annuity and variable life subaccounts, exchange-traded funds, closed-end funds, and separate accounts) with at least a three-year history. Exchange-traded funds and open-end mutual funds are considered a single population for comparative purposes. It is calculated based on a Morningstar Risk-Adjusted Return measure that accounts for variation in a managed product’s monthly excess performance, placing more emphasis on downward variations and rewarding consistent performance. The Morningstar Rating does not include any adjustment for sales loads. The top 10% of products in each product category receive 5 stars, the next 22.5% receive 4 stars, the next 35% receive 3 stars, the next 22.5% receive 2 stars, and the bottom 10% receive 1 star. The Overall Morningstar Rating for a managed product is derived from a weighted average of the performance figures associated with its three-, five-, and 10-year (if applicable) Morningstar Rating metrics. The weights are: 100% three-year rating for 36–59 months of total returns, 60% five-year rating/40% three-year rating for 60–119 months of total returns, and 50% 10-year rating/30% five-year rating/20% three-year rating for 120 or more months of total returns. While the 10-year overall star rating formula seems to give the most weight to the 10-year period, the most recent three-year period has the greatest impact because it is included in all three rating periods.

General

Investment advisory services offered through Lear Investment Management, an SEC-registered investment adviser. Registration with the SEC does not imply a certain level of skill or training. Media references (including Barron’s and The Wall Street Journal) reflect historical publications and citations; these mentions are not testimonials or endorsements of Lear Investment Management or any of its strategies, and no compensation was paid in exchange for coverage. Awards, rankings, and ratings discussed herein reflect the time period specified and should not be interpreted as predictive of future performance. Investing involves risk, including the possible loss of principal.

Jim Warner has spent over two decades managing investment portfolios and providing financial advisory services for the world’s leading investment and advisory firms, including The Citadel Group, The Blackstone Group, TPG Capital, Deimos Asset Management (fka Guggenheim Global Trading) and Credit Suisse First Boston.

Mr. Warner has held numerous Director and Portfolio Manager positions with The Citadel Group, Deimos Asset Management and Carlton Capital over the last fifteen years. Through these experiences, he has developed a disciplined investment process, including a fundamentals-based research process, sophisticated portfolio construction and intensive risk management.

His investment experience also includes a multitude of corporate transactions, including marquee private equity deals, complex Chapter 11 restructuring, activist shareholder stakes and distressed credit investments. Mr. Warner has also held positions in capital markets in various currencies globally for a wide range of businesses.

Mr. Warner received his B.A. from the University of Virginia and M.B.A. from the Wharton School at the University of Pennsylvania where he graduated with Honors.

Tom Steinle has more than 30 years of experience helping Independent Financial Advisors grow, manage, and strengthen their practices. Throughout his career, he has provided investment consulting, business development, and practice management guidance to hundreds of advisors across the Northeast, helping them navigate changing market environments, improve client outcomes, and build more scalable businesses.

Prior to joining Lear Investment Management, Tom held senior business development and consulting roles with AssetMark and PMC, where he partnered with independent advisors, RIAs, broker-dealers, and enterprise firms. In these roles, he worked closely with advisors on investment platform solutions, portfolio construction, business growth strategies, client acquisition, and practice management initiatives designed to enhance both operational efficiency and long-term profitability.

Tom began his career in financial services with Connecticut Mutual Life Insurance Company, where he served as an Advisor, Manager, and Trainer. These experiences provided a strong foundation in financial planning, advisor development, and client relationship management that continues to influence his work today.

Senior sales leader with 30 years of experience driving investment product growth. Recognized for dynamic presentations, deep product expertise, and a client-first approach that strengthens advisor relationships, supports asset retention, and delivers consistent gross and net sales results.

Keith Girand began his career in 1996 as a financial advisor in Cincinnati, Ohio, and has spent the past three decades helping advisors and their clients navigate a changing investment landscape. He has become a trusted consultant to hundreds of leading financial advisors nationwide, partnering with them on portfolio construction, manager selection, and practice management to strengthen outcomes and build lasting client relationships. Known for his consultative style and clear, engaging communication, Keith combines deep investment product knowledge with practical business insight to help advisors implement solutions with confidence. As Director of Business Development he serves as a key partner to independent financial advisors and RIAs, delivering investment and business consulting expertise, supporting advisor growth initiatives, and helping firms improve efficiency and scale. Throughout his career, he has been recognized for strong relationship management, a client-first mindset, and a consistent focus on measurable results. He currently resides in Winter Park, FL with his wife; is the proud father to four grown children and a recent grandson. 

Ryan has over 20 years of experience building relationships with independent financial advisors and their high-net-worth family clients to achieve investment excellence.

Prior to joining Lear Investment Management, Ryan worked as a Senior Investment Consultant at Clark Capital Management Group, a role he has held since February 2009. Before that, he worked in sales positions with Lincoln Financial Distributors and Horne, Townsend & Kent.

He earned his Bachelor’s degree from Pennsylvania State University in 2001, majoring in finance and international business.
 Ryan holds the Certified Investment Management Analyst® (CIMA®) and Accredited Investment Fiduciary® (AIF®) designations, underscoring his commitment to professional excellence and fiduciary responsibility.

Mr. Spickler has developed an exceptional ability to prudently manage clients’ needs and think creatively to solve problems. Mr. Spickler has experience in research and project management for both the investment, fintech and software industries.

Robert became an integral part of the development of the trading platform at Robinhood. He has also worked at TD Ameritrade as a client manager — helping investors answer a variety of questions ranging from trading to operational inquiries. In addition, Robert served in a project manager role at a local technology organization.

Originally from Hawai'i, Robert received his B.A. in Finance from The University of Alabama and resides in Dallas.

Trey Thomas serves as Manager of Firm Operations at Lear Investment Management, where he is focused on building scalable processes, strengthening operational controls, and helping ensure a smooth experience for clients, advisors, and firm partners.

Mr. Thomas brings over a decade of financial services experience across custodial operations, relationship management, and institutional sales. His broad background across brokerage, advisory, and financial technology environments gives him a practical understanding of both client service and back-office operations.

Mr. Thomas graduated from Texas Christian University with a Bachelor of Science in Political Science, with a concentration in Economics. 

He supports the firm’s daily operational infrastructure, client service processes, custodial workflows, and internal initiatives designed to improve efficiency across the business. 

Prior to joining Lear Investment Management, Trey worked at Charles Schwab & Co., Inc. as an Institutional Associate, where he specialized in asset transfers, tax reporting, and estate-related services. Earlier in his career, he held roles with MassMutual Financial and Personal Capital, focusing on institutional sales and client-facing support.

Mr. Thayne Gould is Chief Compliance Officer and is responsible for developing, testing, and monitoring the compliance programs. He has extensive knowledge and application of the Investment Advisors Act of 1940, Securities Act of 1933, and state securities laws.

Thayne has over 25 years of investment management industry experience with firms such as T. Rowe Price and PNC Capital Advisors. His duties have included product management, marketing, and compliance functions, and he has been responsible for oversight of both broker-dealer and investment adviser activities for a $1-billion fund, a 100-person marketing and distribution organization, and the activities of a $50-billion institutional asset manager. He has in-depth experience with various SEC and state filings, supported examinations, and been point of contact for the Staff and other regulators.

Thayne earned a Bachelor of Science in Economics from Towson University and a Master of Business Administration from Loyola University Maryland and holds the FINRA Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 7 (General Securities Representative), Series 6 (Investment Company and Variable Contracts Representative), Series 66 (Uniform Combined State Law), and Series 63 (Uniform Securities Agent State Law) Licenses.
 Thayne is on staff at Vigilant Compliance, LLC., whose services are retained by Lear Investment Management.