AR
Apex Research And Investments, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 121643
·
☆ Save with Pro
ADV data as of Feb 12, 2026
- Regulatory AUM
- $93.7M
- Discretionary
- $93.7M
- Clients
- 11
- Avg AUM / client
- $8.5M
- Accounts
- 11
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 11 | $93.7M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Alan Plummer | Registered representative | Jan 2009 (18y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/12/2026 | 1.26 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 12, 2026.
View current Form ADV (SEC/IAPD) ↗