Appleby Advisory LLC

Appleby Advisory LLC seeks individual investors as well as trusts, estates, charitable organizations, pension and profit‑sharing plans, retirement accounts, corporations and other business entities by acting as a solicitor that refers clients to Geneva Advisors LLC for portfolio management. The firm does not itself manage client accounts, participate in wrap‑fee programs, or hold custody of client funds.

Appleby does not set investment strategy directly; it relies on Geneva Advisors’ proprietary valuation model together with Geneva’s analysts and portfolio managers to construct investment baskets across seventeen equity and three fixed‑income strategies and to implement client‑requested restrictions. Client accounts are reviewed periodically by licensed investment professionals and holdings are appraised monthly, while Appleby maintains no discretionary trading or proxy‑voting authority.

Distinctive features include Appleby’s limited role as a referral intermediary — coordinating access to third‑party portfolio management rather than providing in‑house management — and its compensation arrangement with Geneva rather than from direct asset management or product sales. The firm also reports no broker‑dealer affiliations, does not sell other investment products on a commission basis, and discloses no disciplinary history.