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.


We’ve developed 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.