Regulatory Notice
Not a broker-dealer or investment adviser. Apex Scalers, LLC is not registered as a broker-dealer under the Securities Exchange Act of 1934, is not a member of FINRA, and is not registered as an investment adviser under the Investment Advisers Act of 1940 or any state equivalent. Nothing on this Site constitutes investment advice, a securities solicitation, an offer to buy or sell any security or financial instrument, or a general solicitation within the meaning of Rule 502(c) of Regulation D under the Securities Act of 1933.
Scope of services. Our services are limited to marketing operations, production of investor-facing materials, digital outreach campaign management, data room organization, meeting coordination, and opportunity qualification and routing. We do not recommend, endorse, or advise on any investment; negotiate terms, pricing, or deal structure on behalf of any party; solicit capital or pre-qualify investors for any transaction; discuss material non-public information or deal-specific diligence; receive transaction-based, contingent, or success-based compensation; or participate in the execution, settlement, or closing of any transaction.
Compensation structure. All Apex Scalers engagements are compensated on a flat-fee, subscription, or retainer basis. The compensation amount is documented and agreed upon before any work begins. Compensation is not contingent on the success, closing, pricing, or terms of any capital raise, investment, or transaction. This structure is fundamental to our operating model and our position outside securities regulation.
Licensed activity handoff. If any engagement, inquiry, or opportunity triggers activity that would require broker-dealer, investment adviser, or equivalent registration, Apex Scalers immediately ceases its involvement and executes a documented handoff to an appropriately licensed third-party entity. That entity engages directly with the counterparty under its own registration, supervision, and engagement terms. Apex Scalers does not share in, receive referral fees from, or otherwise participate in any revenue from the licensed activity. For a detailed description of our handoff protocol, see our Compliance Posture page.
No reliance. The information on this Site is for general informational purposes only. You should not rely on any content on this Site as a substitute for professional advice from a registered broker-dealer, investment adviser, attorney, accountant, or other qualified professional. Apex Scalers expressly disclaims any liability arising from your reliance on Site content for investment, legal, tax, or financial decisions.