Allow Apogee to take your compliance program to the next level.

Tailored services for efficiency and effectiveness

Each investment adviser has unique needs and a demanding budget. Allow us to show you our capabilities. We place a high importance on tailoring services that will keep you compliant while letting your business thrive.

  • CFTC/NFA Services

    • Annual NFA Self-Examinations

    • Focused Gap Analysis

    • CFTC Registration and NFA Membership

    • Commodity Pool Exemptions

    • Tailored Compliance Manual Development and Maintenance

    • Marketing Material Reviews

    • NFA Bylaw 1101 Assistance

    • Form 7-R (firm) and Form 8-R (individual) Filings

    • Form CPO-PQR and Form CTA-PR Guidance and Filings

    • Annual AP Ethics Training

    • NFA Examination Support

    • Telephone and Email Consultation

  • SEC Services

    • Annual Compliance Program (Rule 206(4)-7) Reviews

    • SEC Registration and ERA Exemptions

    • Tailored Compliance Manual Development and Maintenance

    • Code of Ethics Administration

    • Form ADV Drafts and Filings

    • Form PF Guidance and Filings

    • Annual Compliance Training

    • Telephone and Email Consultation

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“Apogee offers an unmatched experience by combining exceptional technical knowledge with a personal, boutique feel that will increase the confidence and peace of mind of any CCO.”

Scott Brindley, Managing Partner