Leadership

Bill-Capuzzi-Profile

William (Bill) Capuzzi

Chief Executive Officer

 

BEFORE APEX

Prior to his role as CEO of Apex Fintech Solutions LLC, Bill previously worked at Convergex Group where he was Chief of Staff and a member of the firm’s Executive Committee. As Chief of Staff, he managed critical internal and external initiatives for the company and was responsible for the firm’s options, prime services, global clearing and commission sharing arrangement (CSA) businesses.

Bill also served as Director at Pershing LLC, responsible for their institutional product suite and directed their global re-engineering efforts firm wide. Bill started his career on Wall Street at Donaldson, Lufkin & Jenrette (DLJ) as part of their MBA program in 1999 and just prior to that was a principal for a large consulting firm.

Bill earned a Bachelor of Arts degree from Wesleyan University in Connecticut and a Master of Business Administration in Strategic Management from Rutgers University. He holds Series 3, 7, 24, and 63 registrations.

OUTSIDE OF THE OFFICE

Bill enjoys tackling various triathlons and has completed several Ironman races.

Tricia Rothschild

President

 

BEFORE APEX

Before joining Apex Fintech Solutions LLC, Tricia was Chief Product Officer and Co-Head of Global Markets at Morningstar, where she led a multi-million-dollar global portfolio of businesses including software, data, research and index solutions that served asset managers, wealth managers, and individual investors. In her 26-year career at the firm, she developed a focused advisor and wealth management segment strategy, launched the firm’s equity research business, drove content strategy for the firm’s individual investor website, and served as a securities analyst and editor.

Tricia graduated with a Bachelor of Science degree from Northwestern University and holds a Master’s degree in Russian and East European economics from Indiana University. She is a Chartered Financial Analyst® (CFA) and serves on that organization’s global Board of Governors. She also sits on a small portfolio of private-company boards in the fintech and wealth-tech space.

OUTSIDE OF THE OFFICE

Tricia spends her free time in either Chicago or Southern California, where she hopes her two 20-something sons, teenage daughter, and husband will cook for her and indulge her in karaoke, hikes, bike rides and beginner-level tennis.

Tricia-Rothschild-Profile

William Brennan

Chief Administrative Officer

 

BEFORE APEX

Prior to joining Apex Fintech Solutions LLC, Bill served as Managing Director and Global Co-Head of Clearing for Goldman Sachs where he was responsible for infrastructure and financial management as well as building out an international clearing platform. Prior to joining Goldman Sachs, Bill served as Chief Financial Officer at First Options of Chicago, Inc.

Bill graduated from the University of Illinois with a B.S. in Accounting. He became a C.P.A. in 1989 and received his J.D. from IIT-Chicago Kent College of Law in 1995.

OUTSIDE OF THE OFFICE

In his free time, Bill indulges his love of classic television and finding new genres of music.

Chris Springer

Chief Financial Officer

 

BEFORE APEX

Prior to joining Apex Fintech Solutions LLC, Chris served as Chief Administrative Officer and Chief Financial Officer at Electronic Transaction Clearing Inc. (ETC), which was acquired by Apex Fintech Solutions LLC in 2019. Chris was responsible for managing finance, securities operations, treasury and risk during his time at ETC. Before ETC, Chris spent 26 years at ConvergEx Group and held the role of Chief Financial Officer where he oversaw day-to-day finance and accounting operations, in addition to corporate structuring.

Chris has extensive financial leadership experience in broker-dealer operations and provides synergy and efficiency to Apex Fintech Solutions LLC’s expanding organization. Chris holds a Master’s degree in Accounting from the University of Mississippi, is a Certified Public Accountant and also holds a Series 27 license. Chris is a member of the Stockbrokerage Subcommittee of the NYS Society of CPA’s and was recently appointed to serve as a member of the Stockbrokerage and Investment Banking Expert Panel of the American Institute of Certified Public Accountants for the 2021-2022 term.

OUTSIDE OF THE OFFICE

Chris resides in the New York City metropolitan area and enjoys spending time with his family and following his favorite sports teams outside of the office.

Chris-Springer-Profile