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Santa Monica, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mdb Capital Group Llc | Dallas | TX | 06/2000 | 11/2016 |
| Bache Capital Management | Pasadena | CA | 09/2015 | Present |
| Apexus Capital Llc | Santa Monica | CA | 10/2015 | Present |
| Bache Capital Management Inc. | Santa Monica | CA | 10/2022 | Present |
(1) SANTA MONICA EDUCATION FOUNDATION; INVESTMENT RELATED; SANTA MONICA, CA; CHARITABLE ORGANIZATION; INVESTMENT COMMITTEE MEMBER; 09/30/2013; 3; 0; HOLD PERIODIC MEETINGS TO DISCUSS INVESTMENT IDEAS. (2) BACHE CAPITAL MANAGEMENT INC.; INVESTMENT-RELATED; SANTA MONICA, CA; INVESTMENT ADVISORY; PRESIDENT, CIO & CCO 10/2022 & FIXED INCOME INVESTMENT MANAGER; 09/2015; 30 HRS/MO; 20 HRS/MO DURING TRADING; MANAGE FIXED INCOME, CONSULT WITH CLIENTS. (3) APEXUS CAPITAL HOLDINGS INC.; INVESTMENT-RELATED; SANTA MONICA, CA; HOLDING FOR APEXUS CAPITAL LLC; SOLE SHAREHOLDER AND PRESIDENT; 09/2015; 2 HRS/MO; 1 HR/MO DURING TRADING; THIS ENTITY IS THE SOLE MEMBER HOLDING APEXUS CAPITAL LLC. (4) APEXUS CAPITAL LLC; INVESTMENT-RELATED; SANTA MONICA, CA; SECURITIES BROKER DEALER; MANAGING MEMBER; START DATE: 09/2015; 175 HOURS PER MONTH; 105 HR/MO DURING TRADING; SECURITIES BROKER DEALER FOCUSING ON FIXED INCOME. (5) APEXUS CAPITAL MANAGEMENT LLC; INVESTMENT-RELATED; SANTA MONICA, CA; FIXED INCOME FEE-BASED BUSINESS; MANAGING MEMBER; 10/2015; 0 HRS/MO; 0 HRS/MO DURING TRADING; NON-OPERATING ENTITY: MANAGE FIXED INCOME AS A CONTRACTOR TO BACHE CAPITAL MANAGEMENT, INC.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-06-01 |
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