APTUS FINANCIAL, LLC
APTUS FINANCIAL LLC Legal Name
Adviser information for APTUS FINANCIAL, LLC last updated from Form ADV on March 25th, 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 | Arkansas, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 503 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 503 |
Services
| Advisory Services | Financial planningPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshopsINVESTMENT ADVISORY SERVICES TO DIY INVESTORS |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-120751 |
|---|---|
| SEC ERA File Number | 801-120751 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 280033 |
| Legal Entity Identifier | None |
Principal Office
2 VAN CIRCLE STE 4LITTLE ROCK
AR
United States
Monday - Friday, 9AM - 6PM
Tel: 501-907-1993, Fax: None
Chief Compliance Officer
TIM QUILLIN
PARTNER AND CFO
2 VAN CIR STE 4
LITTLE ROCK
AR
United States
Tel:
501-907-1993
T**@*****************M
(Full email address available in API data)
Regulatory Contact
SARAH CATHERINE GUTIERREZ
PARTNER AND CEO
2 VAN CIR STE 4
LITTLE ROCK
AR
United States
Tel:
501-907-1993
S*@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUNCAN, CHARLES, MATTHEW | Individual | – | DIRECTOR OF FINANCIAL PLANNING | 07/2018 | < 5% |
| GUTIERREZ, SARAH, CATHERINE | Individual | – | PARTNER AND CHIEF EXECUTIVE OFFICER | 07/2011 | > 75% |
| QUILLIN, TIMOTHY, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2021 | 25-50% |
| Matthews, Stephanie, Robichaux | Individual | – | DIRECTOR OF FINANCIAL WELLNESS | 01/2023 | < 5% |