This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$0Item 5.F on the latest filing (2024-07-12); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$0

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Advisors on IAPD

0

Employees

1

Advisory employees

1

Offices

1Schedule D 1.F, beyond the principal office

Accounts

0

SEC number

801-130623

CRD

322896

Filings on the tape

2

First filed

Jun 5, 2024

Latest filed

Jul 12, 2024

Organised

Corporation, Arkansas

• Occurred

  Jun 5, 2024
  First Form ADV filing

  Apex Clearing filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5880543f-c7cd-2f74-0df9-4d09154aeda5

First observed

Jun 5, 2024

Last observed

Jul 12, 2024 26 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.