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Nicholas Charles Sapienza

Nicholas C. Sapienza

RITHOLTZ WEALTH MANAGEMENT
Lafayette, LA 70508
Some features on this profile are disabled
CRD#: 6337334
Nicholas Charles 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nick Sapienza

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.
SAPCO INVESTMENTS, LLC Type of business: REAL ESTATE LAFAYETTE, LA Start date: 9/13/2017 OWNER Hours per week: 0 Hours during trading: 0 Maintain property. SAPCO INVESTMENTS, LLC Type of business: APPAREL LAFAYETTE, LA Start date: 6/1/2018 OWNER Hours per week: 0 Hours during trading: 0 I have a passive stake in a family member's apparel company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Charles Sapienza'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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

June 20, 2019 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 1921 Kaliste Saloom Rd. Suite 203, Lafayette, LA 70508
RIA
CRD#: 168652
Lafayette, LA
Past

May 2, 2016 - June 20, 2019

EDWARD JONES

RIA
CRD#: 250
NEW IBERIA, LA
Past

April 14, 2016 - June 20, 2019

EDWARD JONES

BD
CRD#: 250
NEW IBERIA, LA
Past

October 3, 2014 - March 4, 2016

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NEW IBERIA, LA

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".
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 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
Louisiana
(6/20/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/27/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 Approved)
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Contact information

Main Address
24 West 40th Street 15th Floor, New York, NY 10018
Mailing Address
Phone number
(212) 625-1200
Established
Firm type
Fiscal year end
# of Employees
71

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts11,801
AUM (Assets Under Management)$ 6,459,181,176

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/28/2025
Cover Page
Report
04/10/2024
Cover Page
Report

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 70508

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