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AS

Alexandra R. Stimpson

SAPIENT CAPITAL LLC
New York, NY
Some features on this profile are disabled
CRD#: 6829214
AS

Professional summary

Alexandra Rose Stimpson is a registered financial advisor currently at SAPIENT CAPITAL LLC located in New York, New York.

Alexandra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Alexandra has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexandra Rose Stimpson'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

August 3, 2023 - Present

SAPIENT CAPITAL LLC

RIA
CRD#: 324899
New York, NY
Past

February 12, 2018 - June 13, 2023

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

January 5, 2018 - June 13, 2023

MORGAN STANLEY

BD
CRD#: 149777
New York, NY

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
New York
(8/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/12/2018
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: 1/5/2018
General Securities Representative Examination

Current Firm

SC
SAPIENT CAPITAL LLC
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
56

SEC notice filing (26 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

SAPIENT CAPITAL DISCLOSURE BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts5,947
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.

Company Information

SAPIENT CAPITAL LLC

CRD#: 324899New York, NY

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