DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Thomas James Pence
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Tom Pence
At current firm
3 y
since Feb 17, 2023
In the industry
25 y
since Jan 29, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sapient Capital LLC independent RIA currentsince Feb 17, 2023 · Indianapolis, In
- Stifel, Nicolaus & Company, Incorporated national BDOct 17, 2016 to Mar 17, 2023 · Indianapolis, In
- Allspring Global Investments, LLC asset managerSep 8, 2005 to Oct 20, 2005 · San Francisco, Ca
- Strong Capital Management Inc unclassifiedFeb 2, 2001 to Dec 31, 2004 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Sapient Capital LLCleft Mar 17, 2023, registered Feb 17, 2023 (-28 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Allspring Global Investments, LLC to Stifel, Nicolaus & Company, Incorporatedleft Oct 20, 2005, registered Oct 17, 2016 (4015 days) · Other
- Strong Capital Management Inc to Allspring Global Investments, LLCleft Dec 31, 2004, registered Sep 8, 2005 (251 days) · Other
Signals
- Thomas James Pence left Stifel, Nicolaus & Company, Incorporated for Sapient Capital Llc (registered 2023-02-17)Mar 17, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address