Steven L. Dick
SAPIAT ASSET MANAGEMENT
Greeneville, TN 37745
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CRD#: 4717606
Professional summary
Steven Lee Dick, CFP®, ChFC® is a registered financial advisor currently at SAPIAT ASSET MANAGEMENT, LLC located in Greeneville, Tennessee.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Steven has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Mr. Steven L. Dick is the Chairman and Chief Executive Officer of Sapiat Financial Group, Inc., which serves as the holding company for Sapiat Asset Management, LLC and Sapiat Real Estate, Inc. Mr. Dick is the President of Sapiat Real Estate, Inc. and Sapiat Asset Management, LLC. Mr. Dick's roles with the aforementioned firms do not create a conflict of interest with the advisory services he offers through 1796 Investment Management & Consulting. Clients of Sapiat Asset Management, LLC are retail clients including, but not limited to, individuals, high net worth individuals, families, trusts, estates, and the businesses controlled by said individuals, families, trusts, and estates. Whereas clients of 1796 Investment Management & Consulting are solely federal, state, or municipal government entities or government sponsored enterprises. Mr. Dick's role at 1796 Investment Management & Consulting are separate and distinct from his roles and duties at Sapiat Financial Group, Inc., Sapiat Asset Management, LLC and Sapiat Real Estate, Inc.
1796 Investment Management & Consulting, Inc.; Chairman, President, CCO, & IAR; investment related: Yes; 705 Professional Plaza Drive, Suite 2, Greeneville, TN 37745; 1796 Investment Management & Consulting, Inc. is an independent registered investment advisor serving institutional customers with a focus on federal, state, & municipal government entities.; 2020-07-01; Hours devoted to business during trading hours: 10; Hours devoted to business outside trading hours: 30; Percentage of total yearly compensation expected to be derived from the business: 50;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lee Dick'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®
CFP®
Start date: 2008
Experience
Current
April 26, 2016 - Present
SAPIAT ASSET MANAGEMENT, LLC
Office #1: 705 Professional Plaza Drive Suite 2, Greeneville, TN 37745RIA
CRD#: 282647
Greeneville, TN
Past
November 9, 2020 - December 17, 2021
1796 INVESTMENT MANAGEMENT & CONSULTING
RIA
CRD#: 310550
GREENEVILLE, TN
Past
July 30, 2010 - June 8, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
GREENVILLE, TN
Past
July 28, 2010 - June 8, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GREENEVILLE, TN
Past
January 22, 2007 - August 3, 2010
EDWARD JONES
RIA
CRD#: 250
GREENEVILLE, TN
Past
December 9, 2003 - August 3, 2010
EDWARD JONES
BD
CRD#: 250
GREENEVILLE, TN
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
Tennessee(4/26/2016)
IAR
Virginia(7/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SA
SAPIAT ASSET MANAGEMENT, LLC
SAPIAT ASSET MANAGEMENT, LLC
CRD#: 282647 / SEC#:
Tennessee
Registered Investment Advisory firm - (4/25/2016 Approved)Virginia
Registered Investment Advisory firm - (7/17/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
705 Professional Plaza Drive Suite 2, Greeneville, TN 37745
Mailing Address
Phone number
(423) 636-1800
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 155 |
| AUM (Assets Under Management) | $ 43,678,857 |
Red Flags
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