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AP INVESTMENT MANAGEMENT

MOUNTAIN VIEW, CA · CRD 334805 · IAPD ↗ · 650-618-1091

$27.9MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
3States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
July 2025 — AP INVESTMENT MANAGEMENT (MOUNTAIN VIEW, CA) left the SEC roster — its 120-day provisional registration did not convert (was $27.9M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
April 2025 — AP INVESTMENT MANAGEMENT now reports custody of client assets ($27.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
March 2025 — AP INVESTMENT MANAGEMENT (MOUNTAIN VIEW, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 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.