Why Apex?

Empowering Innovation. Empowering Growth.

We’re a rare breed. We’re a proven leader in the clearing space, led by a leadership team who brings over 150 years of combined experience in the space. That experience is combined with a relentless focus on our customers, an ability to anticipate industry trends, and a sophisticated suite of forward-thinking technology-driven solutions. This powerful combination enables us to work together in a highly consultative way, perfectly aligned to help you solve your most challenging business problems. Ultimately, our goal is to empower your innovation.

With Apex, you’ll get:

A focus on you and your needs.
We have one goal — to help you reach your goals. Our experts are with you every step of the way to recommend solutions to help you solve your business challenges.

Fully integrated, leading-edge technology.
Our industry-leading Apex ConnectTM solution provides a powerful suite of APIs for your business. This highly flexible technology solution integrates seamlessly with your infrastructure.

Strong, stable, self-clearing broker dealer.
We’re not a bank, so we’re not subject to the taxing overhead of those regulations. This means we can deliver a very predictable capital cushion, mitigating the need to drop clients unexpectedly as a result of regulatory overhead.

Proactive, proprietary risk management.
Our industry-leading Apex RiskCheckTM solution is one-of-a-kind. This proprietary, multi-dimensional approach to managing risk is integrated across every aspect of our business. At Apex, we proactively monitor all aspects of our business, and our clients’ accounts, to ensure we remain well capitalized and we protect you and your assets.

Pioneering solutions provider in the Fintech space.
Apex is consistently selected as the clearing firm for tech savvy, Fintech firms in the space. As a first-mover in the Fintech space, Apex has become the Custodian-of-Choice for tech-savvy firms like Betterment, Stash and other financial disrupters.

Genuine value.
In addition to proven industry expertise, robust technology solutions, and highly consultative service, you’ll even get a competitive rate structure.

Apex | In the News

Read what the press has to say about how we're powering the digital revolution in financial services.

Looking for a Clearing Firm? Here’s what you’re looking for!

When you’re in the market for a clearing firm, there’s a lot of variables to consider. And all of them are critical to your firm’s bottom line. It’s important that you have the facts when you’re searching for a firm.

As you’d expect, not all clearing firms are the same. Apex is an independent, self-clearing broker, which means we can deliver greater efficiencies during every phase of the process. Our proven expertise, cutting-edge technology solutions, and highly consultative approach will help drive bottom line impact for your business.

We believe educated clients are our best partners. So we’ve created a comprehensive checklist of the key elements you should seek in your clearing firm:

Business focus.
Client Support.
Technology Solutions.

Are we the right partner for you?

Wondering if your firm is a good fit with Apex? Take our Client Compatibility Quiz and find out.


A Disciplined Approach to Safety, Security and Stability

For a lot of clearing firms, risk management is nothing more than a bullet on a list of offerings. For us, it’s foundational to how we operate. It’s part of who we are and how we operate — it’s part of our DNA, and why we developed Apex RiskCheckTM.

Apex RiskCheckTM, is a proprietary, 5 tiered approach to risk that ensures all aspects of our business protects your assets and your business. As an Apex client, we know you put your trust in our ability to protect you, your customers, and your business. We take that seriously. Which is why managing risk permeates everything we do as a firm.

When it comes to finding a clearing firm who can effectively manage risk and protect its clients — bigger isn’t necessarily better. As an independent, self-clearing broker dealer, our size is actually one of our core strengths. Because we’re not a bank, we’re not subject to the taxing overhead and regulations as other firms. And because we’re privately held, we’re not beholden to external shareholders. This means we’ve got the ability to manage our finances in a highly disciplined way, to meet the needs of our clients, and manage our capital in a highly efficient way. Ultimately, this disciplined and fiscally responsible approach ensures a strong financial position that keeps us well capitalized to provide a predictable capital cushion for you and your customers.

Real-Time Risk Monitoring
We proactively monitor client trading activity through our sophisticated risk tools to prevent negative impacts to other clients.

Portfolio Stress Tests
Our risk team strenuously tests client portfolios to flag potential risk scenarios before they happen.

Compliance & Regulatory Checks
Our compliance team continually checks for regulatory red flags to help you operate in compliance and prevent missteps that will cost your business.

New Client Evaluation Process
We have a vigorous client review process that ensures we only partner with clients who won’t put our firm or our clients at risk.

Strong Financial Management
We manage our balance sheet to ensure we are well capitalized and able to provide a stable and predictable capital cushion.

Our Leaders