Nicholas C. Sapienza
Professional summary
Nicholas Charles Sapienza, CFP®, who also goes by Nick Sapienza, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Lafayette, Louisiana.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicholas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Charles Sapienza's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
June 20, 2019 - Present
RITHOLTZ WEALTH MANAGEMENT
Office #1: 1921 Kaliste Saloom Rd. Suite 203, Lafayette, LA 70508May 2, 2016 - June 20, 2019
EDWARD JONES
April 14, 2016 - June 20, 2019
EDWARD JONES
October 3, 2014 - March 4, 2016
ESSEX NATIONAL SECURITIES, LLC
Primary Firm SEC Registration
RITHOLTZ WEALTH MANAGEMENT
CRD#: 168652 / SEC#: 801-78479
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/20/2019)
Exams
Current Firm
RITHOLTZ WEALTH MANAGEMENT
CRD#: 168652 / SEC#: 801-78479
Contact information
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,801 |
| AUM (Assets Under Management) | $ 6,459,181,176 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/28/2025 | ||
| 04/10/2024 |
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.
Company Information
RITHOLTZ WEALTH MANAGEMENT
CRD#: 168652Lafayette, LA 70508TRUST BUT VERIFY
Monitor Nicholas Sapienza
Get automatic monthly alerts on:
