What Apeltrys Advisors is — and what it is not.

Nature of the firm

Apeltrys Advisors is not an investment bank and does not act as one in any jurisdiction. The firm operates exclusively as strategic advisors, providing strategic consulting and independent counsel on corporate, financial and transactional matters. None of our activities constitute investment banking services within the meaning of any applicable regulatory regime.

Brazil

Apeltrys Advisors is not a Distribuidora de Títulos e Valores Mobiliários (DTVM), nor a Corretora de Títulos e Valores Mobiliários (CTVM), nor any other entity regulated by the Comissão de Valores Mobiliários (CVM) or by the Banco Central do Brasil. The firm does not perform any activity reserved by Brazilian law to financial institutions or to entities authorised to operate in the securities markets.

Other jurisdictions

The same principle applies in every other geography in which Apeltrys Advisors operates. The firm is not registered, licensed or authorised as a bank, broker-dealer, securities firm, investment adviser or any equivalent regulated entity — including, without limitation, with the U.S. Securities and Exchange Commission (SEC) or FINRA in the United States, the Financial Conduct Authority (FCA) in the United Kingdom, the European Securities and Markets Authority (ESMA) or any national competent authority in the European Union, the Swiss Financial Market Supervisory Authority (FINMA) in Switzerland, or the Israel Securities Authority (ISA) in Israel.

What Apeltrys Advisors does not do

• Does not take custody of client money, securities or any other client assets.
• Does not participate in operations involving publicly traded securities or open-capital markets on its own account, nor does it execute orders, underwrite, place or distribute such securities directly.
• Does not extend credit, lend its balance sheet, or deploy proprietary capital alongside or against client mandates.
• Does not maintain sales-and-trading or market-making operations of any kind.

ECM and DCM distribution

Where a mandate involves the distribution of equity or debt securities, Apeltrys Advisors works with local partners that are duly registered and authorised in their respective jurisdictions to carry out such activities. Any underwriting, placement or distribution function is performed exclusively by such licensed partners — not by Apeltrys Advisors — and is at all times subject to the rules of the competent local regulator.

General information

The information contained on this website is provided for general informational purposes only. It does not constitute, and must not be relied upon as, investment, legal, tax, accounting or any other form of professional advice, nor as an offer or solicitation in respect of any securities or financial instrument.