Nicholas Sapienza has been Managing Member of Ritholtz Wealth Management since January 2024, is not listed as a control person, but directly owns under 5% of the firm. Nicholas Sapienza holds a BA in International Trade & Finance from Louisiana State University.
Ritholtz Wealth Management is a New York, NY firm with $9.42B under management, 4,221 clients and 48 advisers across 15 offices, as of its August 2026 filing.
Nick Sapienza is Sr. Advisor of Ritholtz Wealth Management. Sapienza began a career at a firm with a culture of commissions first, clients second, and after reading Josh's book emailed him, which led to joining the Ritholtz team. Sapienza has 12 years of industry experience.
Nicholas Sapienza’s longest registration is the current one, 7 years at Ritholtz Wealth Management since 2019. Before joining Ritholtz Wealth Management in 2019, Nicholas Sapienza was registered through Edward Jones.
- Ritholtz Wealth ManagementCurrent– present · 7 yearsLafayette, LA · Adviser representative · Firm CRD 168652
- Edward Jones– · 3 yearsNew Iberia, LA · Adviser representative · Firm CRD 250
Professional designations
Listed by Ritholtz Wealth Management
- CFP®
Investment adviser representative registrations
Nicholas Sapienza is registered as an investment adviser representative in Louisiana, since June 2019.
- LouisianaSince 20 June 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 27 April 2016 |
| Series 7 | General Securities Representative Examination | 3 December 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 October 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Nicholas Charles Sapienza
- CRD
- 6337334
- Firm
- Ritholtz Wealth Management · CRD 168652
- Role
- Managing Member
- Office
- 1921 Kaliste Saloom Rd., Suite 203, Lafayette, LA 70508
- Registration
- Investment adviser registration
- In the industry since
- November 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ritholtzwealth.com
Where does Nicholas Sapienza work?
Nicholas Sapienza has been Managing Member of Ritholtz Wealth Management since January 2024.
Is Nicholas Sapienza a financial advisor?
Yes. Nicholas Sapienza has a current investment-adviser registration in Louisiana, through Ritholtz Wealth Management since June 2019.
How many years of experience does Nicholas Sapienza have?
Nicholas Sapienza has 11 years in the financial industry, since November 2014, across 2 adviser firms.
What exams has Nicholas Sapienza passed?
Nicholas Sapienza has passed 3 licensing exams: the Series 6, Series 7 and Series 66. The earliest, the Series 6, was passed in October 2014. FINRA credited Nicholas Sapienza with the SIE, which began in October 2018.
Where did Nicholas Sapienza work before Ritholtz Wealth Management?
Before Ritholtz Wealth Management, Nicholas Sapienza was registered through Edward Jones, May 2016 to June 2019.
Where is Nicholas Sapienza based?
Nicholas Sapienza’s registered office is in Lafayette, LA.
Is Nicholas Sapienza registered with FINRA?
No. Nicholas Sapienza has no current broker registration.
Is Nicholas Sapienza a CFP?
Ritholtz Wealth Management lists Nicholas Sapienza with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Nicholas Sapienza’s record?
Search CRD 6337334 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Sapienza’s full registration record.
- Patricia FerraroChief Compliance Officer & Managing Member
William ArtzerounianManaging Member
Benjamin CarlsonManaging Member
Anna ChaikenManaging Member
Ross CohenManaging Member
Benjamin CoulthardManaging Member
Margaret DuquesnayManaging Member
Joel FishmanManaging Member
Taylor HollisManaging Member
Dinamarie IsolaManaging Member
Michelle KatzenManaging Member
Dylan KluenderManaging Member
Daniel LarosaManaging Member
Matthew LohriusManaging Member
Nicholas MaggiulliManaging Member
Erika MauroManaging Member
Jonathan NovyManaging Member
Alexander PalumboManaging Member
Gary PulfordManaging Member
Brian RosenManaging Member
William SweetManaging Member
Kevin YoungManaging Member
Paul ZodtnerManaging Member
Barry RitholtzManaging Member- Joshua BrownManaging Member
Kristopher VenneManaging Member
Michael BatnickManaging Member
Jay TiniManaging Member