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Investment Adviser Firm Summary
APELLA WEALTH ( CRD # 171106/SEC#:801-79650 )
APELLA CAPITAL, APELLA WEALTH, APELLA CAPITAL, LLC

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved4/29/2014
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama3/27/2024
Arizona3/29/2019
California3/7/2016
Colorado3/29/2019
Connecticut4/29/2014
Delaware3/29/2023
District of Columbia3/29/2019
Florida9/29/2015
Georgia7/24/2017
Hawaii3/29/2023
Idaho3/29/2023
Illinois5/1/2019
Louisiana3/29/2019
Maryland3/29/2019
Massachusetts8/18/2014
Michigan3/31/2021
Minnesota10/8/2020
Missouri5/14/2020
New Hampshire8/18/2014
New Jersey9/29/2015
New York8/18/2014
North Carolina8/18/2014
Ohio3/29/2019
Oregon5/14/2020
Pennsylvania2/26/2015
Rhode Island3/7/2016
South Carolina3/29/2023
Tennessee7/7/2017
Texas11/23/2016
Utah10/8/2020
Vermont8/18/2014
Virginia2/26/2015
Washington10/8/2020
Wisconsin3/29/2023
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.