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IMPORTANT CONSUMER DISCLOSURE
Apex Capital Management, L.L.C. (Apex), located in Lafayette, Louisiana, is an investment advisory firm registered with the Securities and Exchange Commission. Apex and its representatives are in compliance with current registration and/or filing notice requirements imposed upon Registered Investment Advisors in the State of Louisiana. Apex may only transact business in those states in which it is registered, or qualifies for an exemption or exclusions from registration requirements. Apex’s web site is limited to the dissemination of general information pertaining to its investment advisory and financial planning services. Accordingly, Apex’s web site on the Internet should not be construed by any consumer and/or perspective client as Apex’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Apex with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Apex, please contact the State of Louisiana, Office of Financial Institutions, Securities Division. A copy of Apex's Form ADV Part II, which details its business practices, services offered, and related fees, is available upon request. Apex does not make any representations or warranties as to the accuracy, completeness, or relevance of any information prepared by any unaffiliated third party provider, whether linked to Apex's web site or incorporated herein. All such information is provided solely for convenience purposes only and all users thereof should be guided appropriately.
PRIVACY POLICY
Commitment to Your Private Information: Apex Capital Management, LLC, along with Arsement, Redd, & Morella, LLC, our CPA practice, has a long standing policy of protecting the confidentiality and security information we collect about our clients. We do not, and will not, share nonpublic personal information about you (“Information”) with outside third parties without your consent, except for the specific purposes described below. This notice has been provided to you to describe the Information we may gather and the situations under which we may need to share it.
Why We Collect and How We Use Information. We limit the collection and use of Information within our firm to only those individuals associated or employed with us that must have Information to provide financial services to you. Such services include maintaining your accounts, processing transaction requests, providing financial planning, financial consultation, and other services described in our Form ADV.
How We Gather Information. We get most Information directly from you when you provide us with information from any of the following sources:
- Applications or forms (for example: name, address, social security number, birth date, assets, income, financial history)
- Transactional activity in your account (for example: trading history and account balances)
- Information services and consumer reporting sources (for example: to verify your identity or to assess your credit history)
- Other sources with your consent (for example: your insurance professional, attorney, or accountant)
How We Protect Information. Our employees and affiliated persons are required to protect the confidentiality of Information and to comply with out stated policies. They may access Information only when there is an acceptable reason to do so, such as to service your account or provide you with financial services. Employees who violate our Privacy Policy are subject to disciplinary action, up to and including termination from employment with us. We also maintain physical, electronic, and procedural safeguards to protect information, which comply with applicable SEC, state, and federal laws.
Sharing Information with Other Companies Permitted Under Law. We do not disclose Information obtained in the course of our practice except as required or permitted under law. Permitted disclosures include, for instance, providing information to unrelated third parties who need to know such Information in order to assist use with the providing services to you. Unrelated third parties may include broker/dealers, mutual fund companies, insurance companies, and the custodian with which your assets are held. In such situations, we stress the confidential nature of information being shared.
Former Customers. Even if we cease to provide you with financial products or services, our Privacy Policy will continue to apply to you and we will continue to treat your nonpublic information with strict confidentiality.
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