TP
Thomas J. Pence
SAPIENT CAPITAL LLC
INDIANAPOLIS, IN 46280
Some features on this profile are disabled
CRD#: 2175665
TP
Professional summary
Thomas James Pence, who also goes by Tom Pence, is a registered financial advisor currently at SAPIENT CAPITAL LLC located in Indianapolis, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Thomas has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Pence
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. Eskenazi Health Foundation; 720 Eskenazi Avenue Indianapolis IN 46202; healthcare; Board Member, Goverance Committee Member; consulting; affiliation started 03/01/2017; 2.0 hours per quarter; not during securities trading hours; not investment-related. 2. Indianapolis Museum of Art; 4000 N Michigan Rd Indianapolis IN 46208; art museum; Investment Committee Member; investment consultation; affiliation started 01/01/2015; 2.0 hours per quarter; not during securities trading hours; not investment-related. 3. MIca Partners LLC; 600 E 96th St Ste 575 Indianapolis IN 46240; Member; Investing; affiliation started 05/23/2017; 1.0 hour per year; not during securities trading hours; not investment-related. 4. Gore Creek 404 LLC; 97 Main St Unit E202 Edwards CO 81632; investments and any other business the company see fits; Sole Manager and Sole Member; manage investments and assets; 10/23/2017; 1.00 Hour(s) Per Quarter; not during securities trading hours; Investment-Related. 5. TJ Pence Investments LLC; 8002 N Pennsylvania St Indianapolis IN 46240; investments, real estate; Member; manage investments; 04/25/2008; 1.00 Hour(s) Per Quarter; not during securities trading hours; Investment-Related. 6. Trade Secret Chocolates Inc dba Sochatti dba True Essence; 1125 E Brookside Ave Ste D2, Indianapolis, IN 46202; Chocolate retailer; Consultant; Advise on business planning and strategies; 02/08/2022; 1 Hour per Quarter; Not During Securities Trading Hours; Not Investment-Related. 7. TJP AJP Summer Wind LLC; 600 E 96th St Ste 575, Indianapolis, IN 46240; Private investments; Manager and member; 05/05/2022; 1 Hour per Quarter; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Pence's 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®
NoneExperience
Current
February 17, 2023 - Present
SAPIENT CAPITAL LLC
Office #1: 401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280RIA
CRD#: 324899
INDIANAPOLIS, IN
Past
February 9, 2017 - March 17, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
INDIANAPOLIS, IN
Past
October 17, 2016 - March 17, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
INDIANAPOLIS, IN
Past
September 8, 2005 - October 20, 2005
ALLSPRING GLOBAL INVESTMENTS, LLC
RIA
CRD#: 104973
SAN FRANCISCO, CA
Past
February 2, 2001 - December 31, 2004
STRONG CAPITAL MANAGEMENT INC
RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past
November 1, 2000 - December 31, 2004
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
Past
February 4, 1992 - October 16, 2000
CONSECO EQUITY SALES, INC.
BD
CRD#: 4125
CARMEL, IN
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".
SC
SAPIENT CAPITAL LLC
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
Indiana(2/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
SAPIENT CAPITAL LLC
SAPIENT CAPITAL LLC
CRD#: 324899 / SEC#: 801-127298
RIA
Registered Investment Advisory firm - (2/6/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
56
SEC notice filing (26 States and Territories)
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.
