Role at Sapient Capital
- Title on Schedule A
- Partner and Managing Director
- Control
- Thomas Pence is a control person of Sapient Capital.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Thomas Pence has held the filed role since February 2023.
The firm
Form ADV filed 31 August 2026
Career on record
Thomas Pence has been registered through Sapient Capital since February 2023, and before that through Wells Capital Management Inc and Strong Capital Management Inc.
- Sapient Capital LLCCurrent– present · 4 yearsIndianapolis, IN · Adviser representative · Firm CRD 324899
- Passed SIE · 2018
- Passed Series 7 and Series 63 · 2017
- Stifel, Nicolaus & Company, Incorporated– · 6 yearsIndianapolis, IN · Adviser representative · Firm CRD 793
- Wells Capital Management Inc– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 104973
- Strong Capital Management Inc– · 4 yearsMenomonee Falls, WI · Adviser representative · Firm CRD 106638
- Passed Series 66 · 2001
- Passed Series 6 · 1992
Registrations and exams
Thomas Pence has a current investment-adviser registration in Indiana and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Indiana | Investment adviser representative | Approved | 17 February 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 18 February 2017 |
| Series 66 | Uniform Combined State Law Examination | 29 January 2001 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 9 February 2017 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 February 1992 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Combined 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
- Thomas James Pence
- CRD
- 2175665
- Registration status
- Investment adviser registration
- Office
- 401 PENNSYLVANIA PKWY, SUITE 100, Indianapolis, IN 46280
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 Thomas Pence work?
Thomas Pence has been Partner and Managing Director of Sapient Capital LLC since February 2023, and is a control person of the firm.
Is Thomas Pence a financial advisor?
Yes. Thomas Pence has a current investment-adviser registration in Indiana, through Sapient Capital since February 2023, as of 17 October 2026.
How many years of experience does Thomas Pence have?
Thomas Pence has worked in the financial industry for 22 years as of 17 October 2026, counted from 22 October 2003, across 4 adviser firms.
What exams has Thomas Pence passed?
Thomas Pence has passed 5 licensing exams: the Series 6, Series 66, Series 7, Series 63 and SIE. The earliest, the Series 6, was passed in February 1992.
Where did Thomas Pence work before Sapient Capital?
Before Sapient Capital, Thomas Pence was registered through Wells Capital Management Inc, September 2005 to October 2005; Strong Capital Management Inc, February 2001 to December 2004.
Where is Thomas Pence based?
Thomas Pence’s registered office is in Indianapolis, IN.
Leadership at Sapient Capital
- James RooneyChief Executive Officer
- 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