Role at Sapient Capital
- Title on Schedule A
- Chief Executive Officer
- Control
- James Rooney is a control person of Sapient Capital.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- James Rooney has held the filed role since May 2024.
The firm
Form ADV filed 31 August 2026
Career on record
James Rooney has been registered through Sapient Capital since December 2024, and before that through Corient Capital Partners, LLC and Freestone Capital Management, LLC.
- Corient Capital Partners, LLC– · 5 yearsNewport Beach, CA · Adviser representative · Firm CRD 170920
- Passed SIE · 2015
- Freestone Capital Management, LLC– · 6 yearsSeattle, WA · Adviser representative · Firm CRD 145711
- Passed Series 65 · 2009
- Passed Series 63 · 2005
- Passed Series 7 · 1993
- Passed Series 6 · 1989
Registrations and exams
James Rooney has a current investment-adviser registration in Florida and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 16 December 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 25 September 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 April 2005 |
| SIE | Securities Industry Essentials Examination | 7 January 2015 |
| Series 7 | General Securities Representative Examination | 27 August 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 August 1989 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- James Albert Rooney
- CRD
- 1711247
- Registration status
- Investment adviser registration
- Office
- 4040 NE 2nd Ave, Miami, FL 33137
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does James Rooney work?
James Rooney has been Chief Executive Officer of Sapient Capital LLC since May 2024, and is a control person of the firm.
Is James Rooney a financial advisor?
Yes. James Rooney has a current investment-adviser registration in Florida, through Sapient Capital since December 2024, as of 17 October 2026.
How many years of experience does James Rooney have?
James Rooney has worked in the financial industry for 13 years as of 17 October 2026, counted from 20 February 2013, across 3 adviser firms.
What exams has James Rooney passed?
James Rooney has passed 5 licensing exams: the Series 6, Series 7, Series 63, Series 65 and SIE. The earliest, the Series 6, was passed in August 1989.
Where did James Rooney work before Sapient Capital?
Before Sapient Capital, James Rooney was registered through Corient Capital Partners, LLC, August 2017 to January 2023; Freestone Capital Management, LLC, September 2009 to February 2016.
Where is James Rooney based?
James Rooney’s registered office is in Miami, FL.
Leadership at Sapient Capital
- Elizabeth EwingChief Financial Officer
- Nehama SaadaChief Operating Officer
- Maximiliaan RijkenbergChief Legal Officer and Chief Compliance Officer
- Jeffrey CohenPartner and Managing Director
- Karim KhairallahCEO, Sapient Capital Alternative Investments
- James KnallPartner and Managing Director
- Thomas PencePartner and Managing Director