Cornerstone of Trust

Our relationships with clients are built on a foundation of trust. When you work with us, you can be confident that:

  • We don’t believe in one-size-fits-all solutions. We will take the time to get to know you and your business and tailor our approach to best meet your needs.

  • We understand compliance must co-exist with the rest of the business. We won’t say you can’t do something simply because it is easier than putting in the effort to find a practical solution.

  • The quality of our work will reflect our extensive knowledge of the regulatory environment and decades of experience as former regulators, compliance officers, and “big firm” consultants.

Trust us to help you build a compliance program that supports, rather than hinders, your growth.

Deep Expertise

Whatever your strategy, size, or complexity, we have experience working with firms like you. We can support both traditional and alternative asset managers across a wide range of strategies, including public and private equity, public and private credit, systematic trading, real assets, commodities and futures, and digital assets, among others. We understand the unique compliance challenges applicable to your business, we know where the regulators are focusing, and we can tell you how your practices compare with those of your peers.

Leadership Team

Scott Brindley, Founder and Managing Partner

Scott is a highly experienced regulatory compliance professional with over 25 years of experience in the SEC and CFTC/NFA regulatory compliance space. Prior to founding Apogee in 2021, Scott worked for 10 years at a top compliance consulting firm where he built and led the CFTC/NFA division. He began his career as an examiner at the National Futures Association and has since held various senior compliance positions, including Chief Compliance Officer at Alaron Trading Corporation and financial risk consultant within KPMG’s National Regulatory Advisory Services practice.

Mike Abbriano, Partner and Head of SEC Compliance

Mike has 20 years of experience providing compliance support to all types of investment advisers across a wide range of strategies and asset classes. He is a leading expert in this space and his insights have been featured in numerous publications, including the Hedge Fund Law Report and NSCP Currents, among others. Prior to joining Apogee, Mike was a Managing Director at a top compliance consulting firm where he assisted hundreds of advisers in all aspects of their business, including building compliance programs for new registrants, helping advisers through SEC examinations, and leading mock examinations. He has also held in-house compliance roles supporting the asset management businesses of Morgan Stanley Smith Barney and Needham & Company.

Rick Geissman, Managing Director and Head of CFTC/NFA Compliance

Rick brings a wealth of expertise and experience to Apogee, having served as a regulator, in-house compliance executive, and consultant to global firms. Prior to joining Apogee, Rick spent 8 years at a top compliance consulting firm where he built and led the firm’s CFTC/NFA Division alongside Apogee founder Scott Brindley. He began his career as an examiner at the National Futures Association and has held senior compliance positions at firms such as CSC Futures, Inc. and KPMG.

Get in touch

Whether you are new to compliance or an experienced veteran, Apogee has a solution that will meet your needs. We invite you to schedule a free telephone consultation to learn how we can help. Let’s start our successful journey together today.