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Steven Dick

Sapiat Asset Management, LLC

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Paladin Fiduciary

This advisor or firm is a vetted, documented member of the Paladin Registry.

This advisor or firm is a fiduciary when providing financial advice and services for fees. Fiduciaries are held to the highest ethical standard in the financial service industry. They are required to always put their clients’ financial interests first.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

Paladin Research Report For:

Steven Dick

Sapiat Asset Management, LLC

Steven Dick, a financial fiduciary has been a Paladin Registry member since 2019. Steven is the owner of Sapiat Asset Management, LLC. Steven holds the Accredited Asset Management Specialist , Accredited Wealth Management Advisor , Certified Financial Planner , Chartered Financial Consultant , Chartered Retirement Plans Specialist certifications and has over 20 years of experience. Steven provides financial services to clients in the Greeneville, Tennessee area.

I. Snapshot

A. Registry Member
  • Since 2019
B. Years of Experience
  • 20
C. College Degrees
  • University of Alaska Fairbanks - B.A. Economics
D. Certifications
  • AAMS®, AWMA®, CFP®, ChFC®, CRPS®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Sapiat Asset Management believes that “Anyone can become wealthy in the United States.”. It is the philosophy around which all of our financial planning and investing revolve. We use proprietary processes developed and refined over the past 20 years to help manage cash flow (spending), manage & eliminate debt, manage catastrophic risks, and invest for education, retirement, & other goals with the ultimate objective of achieving financial independence.

G. Asset Requirement
  • None

II. Contact Information

A. Key Contact
  • Steven Dick
B. Main Location
  • 705 Professional Plaza Drive
    Suite 2
    Greeneville, Tennessee, 37745
C. Telephone
  • 423.636.1800

III. Internet

A. Visit Website
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Sapiat Asset Management, LLC
B. Relationship to Firm
  • Owner
C. Name of RIA
  • Sapiat Asset Management, LLC
D. Name of Broker/Dealer
  • None
E. Name(s) of Custodian(s)
  • ETrade Advisor Services
  • American Funds
  • Nationwide
F. Comments
  • Sapiat Asset Management is an independent Registered Investment Advisor acting in a fiduciary capacity at all times for all customers.

V. Credentials

A. Years of Financial Experience
  • 20 Years
B. College, Degrees, Years
  • University of Alaska Fairbanks - B.A. Economics
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association
  • Financial Planning Association of East Tennessee

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • State - Tennessee
C. Industry Licenses
  • Securities License(s)
D. Registration & License Numbers
  • CRD: 282647
  • IARD: 4717606
  • Insurance: None
E. State Licences
  • Financial Advice, Services for Fees: All 50 States
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • None
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Sapiat Asset Management believes that “Anyone can become wealthy in the United States.”. It is the philosophy around which all of our financial planning and investing revolve. We use proprietary processes developed and refined over the past 20 years to help manage cash flow (spending), manage & eliminate debt, manage catastrophic risks, and invest for education, retirement, & other goals with the ultimate objective of achieving financial independence.

B. Minimum Asset Requirement
  • None
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Other:
G. Types of Reports (Frequency)
  • Brokerage Statement (Quarterly)
  • Other: We provide each customer a regularly scheduled summary of the their financial plan & investment porfolio 1- 4 times per year.
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    Sapiat Asset Management provides real solutions to real people for real life. We use our education, knowledge, skills, and resources, once only available to Wall Street elites, to provide the proprietary processes, professional objectivity, and institutional discipline needed to create financial independence among the American Middle Class.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Other: Individuals & Families, the Businesses they own, & the Trusts that benefit them.
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews
E. Comments
  • As an independent Registered Investment Advisor, Sapiat Asset Management can work with any asset at any custodian.

IX. Certification

Advisor Name
  • Steven Dick
Most Recent Update:
  • Oct 31, 2019

BASIC INFORMATION NEEDED FOR THE INQUIRY

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