Old Friends, New Partners
“Our high-quality, bespoke services are offered at a time when the industry seems to crave a more thoughtful, personal approach.”
Birju Patel, Former NFA and FINRA Examiner, Joins Team Apogee to Foster Growth and Expand Consultant Bench
AUSTIN, May 11, 2023 – Birju Patel, a former examiner of both the National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA), has joined Apogee Compliance LLC as a Partner. Mr. Patel brings over 15 years of regulatory compliance experience with him, including as an examiner at multiple self-regulatory organizations and several senior compliance positions within a variety of asset management firms and securities and futures brokerages.
“I am excited for this next phase of my career,” said Mr. Patel. “Joining Apogee and reconnecting with Scott was very organic. Scott brings over 25 years of experience, and it will prove invaluable to the business. I’m happy to be a part of it. Combined, we bring over 40 years with us. We will continue to build the business on the NFA front and look for opportunities with SEC and FINRA service offerings. Of course, we are closely watching digital assets too. Our high-quality, bespoke services are offered at a time when the industry seems to crave a more thoughtful, personal approach.”
While their respective stints at the NFA were at different times, Mr. Brindley and Mr. Patel eventually joined forces within the Compliance Department at Alaron Trading Corporation in Chicago, IL. Since then, each has carved his own path as a highly respected compliance professional in the industry, and their reunion speaks to their strong friendship and openness to business opportunities. Additionally, Mr. Patel is an active international real estate investor.
About Apogee Compliance LLC
Apogee provides regulatory compliance support services to alternative asset managers and brokerage firm registered with the SEC, CFTC/NFA, and FINRA. It is a select, boutique compliance consultancy with an intimate familiarity with the investment adviser and brokerage regulatory space. Additionally, Apogee has positioned itself to offer compliance support services to managers of digital assets. Apogee seeks to establish and foster client relationships with the most talented and accomplished investment management and brokerage firms in the world, concentrating on the United States, United Kingdom, and Brazil.
For more information visit www.apogeecompliancellc.com. Scott Brindley can be reached at sbrindley@apogeecompliancellc.com. Birju Patel can be reached at bpatel@apogeecompliancellc.com.