James A. Rooney

SAPIENT CAPITAL LLC

Miami, FL 33137

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CRD#: 1711247

Professional summary

James Albert Rooney III, who also goes by James Albert Rooney, Jamie Rooney, is a registered financial advisor currently at SAPIENT CAPITAL LLC located in Miami, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Albert Rooney | Jamie Rooney

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) Tramview Capital Management; Investment-related; West Palm Beach, FL. 33401; Advisory board member with ownership interest; Real estate private equity firm advisory board member; Approx. less than 5% of time per month. 2) Marlinspike Partners; Investment-related; West Palm Beach, FL. 33401; Advisory board member with ownership interest; Aersospace defense private equity firm advisory board member; Approx. less than 5% of time per month. 3) Rivet Campus Media; Not investment-related; West Palm Beach, FL. 33401; Board member with ownership interest; Media business board member; Approx. less than 5% of time per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Albert Rooney 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

December 16, 2024 - Present

SAPIENT CAPITAL LLC

Office #1: 4040 Ne 2nd Ave, Miami, FL 33137

RIA

CRD#: 324899

Miami, FL

Past

August 2, 2017 - January 17, 2023

CORIENT CAPITAL PARTNERS, LLC

RIA

CRD#: 170920

NEWPORT BEACH, CA

Past

September 28, 2009 - February 4, 2016

FREESTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 145711

SEATTLE, WA

Past

March 26, 2009 - January 7, 2015

FREESTONE SECURITIES, LLC

CRD#: 124260

SEATTLE, WA

Past

January 14, 2008 - May 27, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 17, 2004 - January 14, 2008

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 7, 1997 - December 31, 2001

VOSS & CO., INC.

CRD#: 6405

SPRINGFIELD, VA

Past

January 1, 1995 - May 1, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 1, 1992 - August 29, 1994

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

August 28, 1989 - May 28, 1992

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

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".

SAPIENT CAPITAL LLC

CRD#: 324899 / SEC#: 801-127298

RIA

Registered Investment Advisory firm - (2/6/2023 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

Florida
(12/16/2024)

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: 9/25/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/24/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAPIENT CAPITAL LLC

CRD#: 324899 / SEC#: 801-127298

RIA

Registered Investment Advisory firm - (2/6/2023 Approved)

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Contact information

Main Address

401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280

Mailing Address

Phone number

(317) 719-0157

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAPIENT CAPITAL DISCLOSURE BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts	5,947
AUM (Assets Under Management)	$ 11,439,805,300

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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Firm Stability Insights

James A. Rooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Albert Rooney III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORIENT CAPITAL PARTNERS, LLC

FREESTONE CAPITAL MANAGEMENT, LLC

FREESTONE SECURITIES, LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

VOSS & CO., INC.

LEHMAN BROTHERS INC.

IFG NETWORK SECURITIES, INC.

DERAND/PENNINGTON/BASS, INC.

Primary Firm SEC Registration

SAPIENT CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2009

Series 63

Date: 4/28/2005

SIE

Date: 1/7/2015

Series 7

Date: 8/27/1993

Series 6

Date: 8/24/1989

Current Firm

SAPIENT CAPITAL LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAPIENT CAPITAL LLC

TRUST BUT VERIFY

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