APO FINANCIAL SERVICES, LLC
Adviser information for APO FINANCIAL SERVICES, LLC last updated from Form ADV on March 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 918 | $100.3M |
| Non-Discretionary | 0 | $0 |
| Total | 918 | $100.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 436 | $35.5M |
| HNW Individuals | 80 | $64.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $598,242 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-118090 |
|---|---|
| SEC ERA File Number | 801-118090 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297647 |
| Legal Entity Identifier | None |
Principal Office
10155 WESTMOOR DRIVESUITE 125
WESTMINSTER
CO
United States
Monday - Friday, 9AM TO 5 PM
Tel: (720) 588-2000, Fax: 720-223-5755
Websites
Chief Compliance Officer
JOHN GOODHUE
CEO & CCO
10155 WESTMOOR DRIVE
SUITE 175
WESTMINSTER
CO
United States
Tel:
720-588-2000
Fax:
720-223-5755
J***@***************M
(Full email address available in API data)
Regulatory Contact
KIMBERLEY RAIMONDO
COMPLIANCE ADMINISTRATOR
E. RAY ROAD
3930
PHOENIX
AZ
United States
Tel:
4806605659
Fax:
203-721-6173
K**@*********************M
(Full email address available in API data)
Industry Affiliates
| APO FINANCIAL, INC. | Insurance company or agency |
| ASSET PROTECT ONE, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOODHUE, JOHNNY, MICHAEL | Individual | – | CEO & CCO | 12/2018 | > 75% |