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.
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SEC-registered adviser
A••• I••••••••• G••••
Legal name A••• I••••••••• G••••• L••
Latest filing Jun 23, 2026
First filing on the tape Oct 24, 2024 · 7 filings
SEC status approved since Nov 29, 2024
RAUM
$211M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$204M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$35.2M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$211M as of Jun 23, 2026
Jan 15, 2025$0 then
HNW client RAUM$99.2M as of Jun 23, 2026
Mar 27, 2025$38.7M then
State-registered IARs (5.B.3)3 as of Jun 23, 2026
Jan 15, 20253 then
Employees (5.A)6 as of Jun 23, 2026
Jan 15, 20254 then
Private funds: no history
RAUM +108% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $35.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $175,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +108%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $50.5M, 189 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$104M49%
- High-net-worth individuals$99.2M47%
- Charitable organizations$4.2M2.0%
- Corporations and businesses$3.2M1.5%
- Individual clients
- 463reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,201reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.5M for 189 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• M••••• S•••• | Hudson, Ma | Dec 19, 2024 | 22 y | 3 |
| J••••• E•••••• B•••••• | Hudson, Ma | Dec 19, 2024 | 17 y | 3 |
| G•••••• S•••• N•••••Certified Financial Planner | Georges Mills, Nh | May 13, 2025 | 25 y | 5 |
| J••••• J••• C•••••• | Boston, Ma | Sep 9, 2025 | 13 y | 0 |
| J••• M••••• | Hudson, Ma | Apr 7, 2026 | 12 y | 0 |
| E••••• C•••••• G••••••Chartered Financial Analyst | Hudson, Ma | Jun 9, 2026 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G•••••• S•••• N••••• from B•••••• I••••••••• G••••• I•••May 13, 2025 · RIA to RIA
- P•••• M••••• S•••• from T•• P•••••• F•••••••• G••••• L••Dec 19, 2024 · RIA to a newly registered adviser
- J••••• E•••••• B•••••• from T•• P•••••• F•••••••• G••••• L••Dec 19, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• P•••••• F•••••••• G••••• L••Jan 30, 2025 · Walpole, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• E•••••• · Membercontrolsince 10/2024 · owns 50% to 75%
- S••••• P••••• M••••• · Member And Chief Compliance Officersince 10/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hudson, Ma · principal | 6 | 2 | 0 | ||
| Needham, Ma | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Georges Mills, NH1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Mar 25, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $101,572,089 to $211,108,269, advisors 2 to 3, private clients 502 to 519, offices 2 to 2 (2025-03-27 to 2026-03-25)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 657.0 to 1,201.0 (+83.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $101,572,089 to $211,108,269 (+108.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,170 to 1,201Oct 3, 2025 to Mar 25, 2026
- Charity clients · 7.0 to unsetOct 3, 2025 to Mar 25, 2026
- Corporate clients · 5 to 7Oct 3, 2025 to Mar 25, 2026
- HNW clients · 68 to 56Oct 3, 2025 to Mar 25, 2026
- Individual clients · 674 to 463Oct 3, 2025 to Mar 25, 2026
- Assets in custody · unset to 50486323.0Oct 3, 2025 to Mar 25, 2026
- Custody of client assets · false to trueOct 3, 2025 to Mar 25, 2026
- Employees · 4 to 6Oct 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $189M to $205MOct 3, 2025 to Mar 25, 2026
- HNW RAUM · $82.5M to $99.2MOct 3, 2025 to Mar 25, 2026
- Individual RAUM · $103M to $104MOct 3, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $5.3M to $5.7MOct 3, 2025 to Mar 25, 2026
- RAUM · $195M to $211MOct 3, 2025 to Mar 25, 2026
- Accounts · 657 to 1,170Mar 27, 2025 to Oct 3, 2025
- Advisory employees · 2 to 3Mar 27, 2025 to Oct 3, 2025
- Charity clients · unset to 7.0Mar 27, 2025 to Oct 3, 2025
- Corporate clients · unset to 5.0Mar 27, 2025 to Oct 3, 2025
- HNW clients · 21 to 68Mar 27, 2025 to Oct 3, 2025
- Individual clients · 481 to 674Mar 27, 2025 to Oct 3, 2025
- Assets in custody · 1035503.0 to unsetMar 27, 2025 to Oct 3, 2025
- Custody of client assets · true to falseMar 27, 2025 to Oct 3, 2025
- Employees · 2 to 4Mar 27, 2025 to Oct 3, 2025
- State-registered IARs · 2 to 3Mar 27, 2025 to Oct 3, 2025
- Discretionary RAUM · $102M to $189MMar 27, 2025 to Oct 3, 2025
- HNW RAUM · $38.7M to $82.5MMar 27, 2025 to Oct 3, 2025
- Individual RAUM · $50.8M to $103MMar 27, 2025 to Oct 3, 2025
- Non-discretionary RAUM · $0 to $5.3MMar 27, 2025 to Oct 3, 2025
- Pension RAUM · 3587807.0 to unsetMar 27, 2025 to Oct 3, 2025
- RAUM · $102M to $195MMar 27, 2025 to Oct 3, 2025
- Accounts · 0 to 657Jan 15, 2025 to Mar 27, 2025
- Advisory employees · 3 to 2Jan 15, 2025 to Mar 27, 2025
- BD registered reps · 2 to 0Jan 15, 2025 to Mar 27, 2025
- HNW clients · unset to 21.0Jan 15, 2025 to Mar 27, 2025
- Individual clients · unset to 481.0Jan 15, 2025 to Mar 27, 2025
- Assets in custody · unset to 1035503.0Jan 15, 2025 to Mar 27, 2025
- Custody of client assets · false to trueJan 15, 2025 to Mar 27, 2025
- Employees · 4 to 2Jan 15, 2025 to Mar 27, 2025
- Insurance-licensed employees · 3 to 0Jan 15, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 1-10Jan 15, 2025 to Mar 27, 2025
- State-registered IARs · 3 to 2Jan 15, 2025 to Mar 27, 2025
Signals
2 dated events
- 2 advisors left T•• P•••••• F•••••••• G••••• L•• (Walpole, MA) for A••• I••••••••• G•••• on the same dayJan 30, 2025 · Team lift-out · derived
- A••• I••••••••• G•••• filed its initial SEC registration (Form ADV)Oct 24, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@apexinvest.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- hjenks@apexinvest.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- corrieq@apexinvest.orgreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-634-1965reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/apex-investment-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- apexinvest.orgreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7743510805reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- apexinvest.org/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026