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APEX INVESTMENT GROUP

HUDSON, MA · CRD 333593 · IAPD ↗ · 7743510805

$211.1MRegulatory AUM
3Advisory reps
6Employees
191Clients
1-10Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2026 — APEX INVESTMENT GROUP now reports custody of client assets ($50.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
48
December 2025 — APEX INVESTMENT GROUP notice-filed in AZ, NV, PA, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
December 2025 — APEX INVESTMENT GROUP reported RAUM up 92% ($101.6M -> $194.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
58
April 2025 — APEX INVESTMENT GROUP reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2025 — APEX INVESTMENT GROUP now reports custody of client assets ($1.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2025 — APEX INVESTMENT GROUP's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
February 2025 — APEX INVESTMENT GROUP notice-filed in CT, FL, LA, ME, NC, NH, NY, RI, TX, VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
December 2024 — APEX INVESTMENT GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.