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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

APTUS FINANCIAL, LLC

APTUS FINANCIAL LLC, CRD 280033

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0f4ecdde-76c6-08f2-af18-566938cab7f8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 0
Observed: Mar 10, 2021 to Sep 15, 2026
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 12
Employees: 12
Advisory employees: 11
Offices: 12Schedule D 1.F, beyond the principal office
SEC number: 801-120751
CRD: 280033
Filings on the tape: 43
First filed: Mar 10, 2021
Latest filed: Sep 15, 2026
Organised: Limited Liability Company, AR

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SARAH CATHERINE GUTIERREZ	Certified Financial Planner	LITTLE ROCK, AR \| Little Rock, AR	10	18	n/a	no
TIMOTHY JOHN QUILLIN	Chartered Financial Analyst	LITTLE ROCK, AR	9	28	1	no
CHARLES MATTHEW DUNCAN	Chartered Financial Analyst	Little Rock, AR \| LITTLE ROCK, AR	8	26	1	no
ERIKA RENAE AGARD	Certified Financial Planner	LITTLE ROCK, AR \| WINDSOR, CO	2	12	1	no
Christopher James Rose	Certified Financial Planner	LITTLE ROCK, AR \| San Rafael, CA	2	12	2	no
XU XU	Certified Financial Planner\|Chartered Financial Analyst	Lithia, FL \| LITTLE ROCK, AR	2	12	n/a	no
JACK CHRISTOPHER WOOTON	n/a	LITTLE ROCK, AR \| NEW YORK, NY	2	13	n/a	no
Jill Marie Raderstorf	n/a	Columbus, OH \| LITTLE ROCK, AR	1	10	1	no
Christopher Stephen Kimmet	Certified Financial Planner	LITTLE ROCK, AR \| Upper Arlington, OH	1	14	3	no
John Andrew Ramsey	n/a	LITTLE ROCK, AR \| Denver, CO	1	11	n/a	no
CAROL ANGEL LIN	Certified Financial Planner	LITTLE ROCK, AR \| PHILADELPHIA, PA	0	11	n/a	no
James Hayman	n/a	LITTLE ROCK, AR \| Ann Arbor , MI	0	30	n/a	no
ANDREW DONAHUE KELLEHER	n/a	DAVIDSON, NC \| LITTLE ROCK, AR	0	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DUNCAN, CHARLES, MATTHEW	DIRECTOR OF FINANCIAL PLANNING	Na	yes	07/2018	May 3, 2021	Dec 2, 2024
GUTIERREZ, SARAH, CATHERINE	PARTNER AND CHIEF EXECUTIVE OFFICER	E	yes	07/2011	Mar 10, 2021	Dec 2, 2024
QUILLIN, TIMOTHY, JOHN	CHIEF COMPLIANCE OFFICER	C	yes	05/2021	Mar 10, 2021	Dec 2, 2024
Matthews, Stephanie, Robichaux	DIRECTOR OF FINANCIAL WELLNESS	Na	no	01/2023	Jan 3, 2024	Dec 2, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 5 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$0	$0	11	10	10	n/a	n/a
2024	Feb 18, 2025	$0	$0	10	10	10	n/a	n/a
2023	Jan 3, 2024	n/a	n/a	7	7	4	n/a	n/a
2022	Jan 3, 2023	n/a	n/a	8	8	2	n/a	n/a
2021	Jan 25, 2022	$10.5M	$10.5M	7	7	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	4	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	n/a	$0	n/a	n/a	n/a	12	10	12	10

Relationships

Registered with (12)

← James HaymanAdvisorregistration: current employment
May 28, 2026 to presentfactForm ADV
← CAROL ANGEL LINAdvisorregistration: current employment
Feb 9, 2026 to presentfactForm ADV
← John Andrew RamseyAdvisorregistration: current employment
Aug 1, 2025 to presentfactForm ADV
← Christopher Stephen KimmetAdvisorregistration: current employment
Jul 29, 2025 to presentfactForm ADV
← Jill Marie RaderstorfAdvisorregistration: current employment
Feb 19, 2025 to presentfactForm ADV
← JACK CHRISTOPHER WOOTONAdvisorregistration: current employment
Jun 26, 2024 to presentfactForm ADV
← XU XUAdvisorregistration: current employment
May 15, 2024 to presentfactForm ADV
← Christopher James RoseAdvisorregistration: current employment
Mar 22, 2024 to presentfactForm ADV
← ERIKA RENAE AGARDAdvisorregistration: current employment
Dec 12, 2023 to presentfactForm ADV
← CHARLES MATTHEW DUNCANAdvisorregistration: current employment
Jul 18, 2018 to presentfactForm ADV
← TIMOTHY JOHN QUILLINAdvisorregistration: current employment
May 26, 2017 to presentfactForm ADV
← SARAH CATHERINE GUTIERREZAdvisorregistration: current employment
Nov 7, 2015 to presentfactForm ADV

Controls (3)

← QUILLIN, TIMOTHY, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 10, 2021 to Dec 2, 2024factForm ADV
← DUNCAN, CHARLES, MATTHEWOwnerDIRECTOR OF FINANCIAL PLANNING, ownership code NA, individual
May 3, 2021 to Dec 2, 2024factForm ADV
← GUTIERREZ, SARAH, CATHERINEOwnerPARTNER AND CHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 10, 2021 to Dec 2, 2024factForm ADV

Owns (1)

← Matthews, Stephanie, RobichauxOwnerDIRECTOR OF FINANCIAL WELLNESS, ownership code NA, individual
Jan 3, 2024 to Dec 2, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 11, 2022
Control person left
Linda Bessette (Chief Administrative Officer) no longer on Schedule A of Aptus Financial, Llc (listed 2022-08-24, absent 2022-11-11)
Form ADVobserved 4 days ago
Occurred
May 3, 2021
Regulatory AUM changed
Aptus Financial, Llc reported RAUM $10.6M, down 91% from $122.0M (2021-03-31 to 2021-05-03)
Form ADVobserved 4 days ago
$-111M
Occurred
May 3, 2021
Control person joined
Matthew Charles Duncan (Senior Vice President) appeared on Schedule A of Aptus Financial, Llc
Form ADVobserved 4 days ago
Occurred
Mar 10, 2021
First Form ADV filing
Aptus Financial, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Sep 15, 2026
Andrew Donahue Kelleher registered as an investment adviser representative at Aptus Financial, Llc

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f4ecdde-76c6-08f2-af18-566938cab7f8
First observed: Mar 10, 2021
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

APTUS FINANCIAL, LLC

APTUS FINANCIAL LLC, CRD 280033

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0f4ecdde-76c6-08f2-af18-566938cab7f8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SARAH CATHERINE GUTIERREZ

Certified Financial Planner

LITTLE ROCK, AR | Little Rock, AR

n/a

TIMOTHY JOHN QUILLIN

Chartered Financial Analyst

LITTLE ROCK, AR

CHARLES MATTHEW DUNCAN

Chartered Financial Analyst

Little Rock, AR | LITTLE ROCK, AR

ERIKA RENAE AGARD

Certified Financial Planner

LITTLE ROCK, AR | WINDSOR, CO

Christopher James Rose

Certified Financial Planner

LITTLE ROCK, AR | San Rafael, CA

XU XU

Certified Financial Planner|Chartered Financial Analyst

Lithia, FL | LITTLE ROCK, AR

n/a

JACK CHRISTOPHER WOOTON

n/a

LITTLE ROCK, AR | NEW YORK, NY

n/a

Jill Marie Raderstorf

n/a

Columbus, OH | LITTLE ROCK, AR

Christopher Stephen Kimmet

Certified Financial Planner

LITTLE ROCK, AR | Upper Arlington, OH

John Andrew Ramsey

n/a

LITTLE ROCK, AR | Denver, CO

n/a

CAROL ANGEL LIN

Certified Financial Planner

LITTLE ROCK, AR | PHILADELPHIA, PA

n/a

James Hayman

n/a

LITTLE ROCK, AR | Ann Arbor , MI

n/a

ANDREW DONAHUE KELLEHER

n/a

DAVIDSON, NC | LITTLE ROCK, AR

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUNCAN, CHARLES, MATTHEW

DIRECTOR OF FINANCIAL PLANNING

yes

07/2018

May 3, 2021

Dec 2, 2024

GUTIERREZ, SARAH, CATHERINE

PARTNER AND CHIEF EXECUTIVE OFFICER

yes

07/2011

Mar 10, 2021

Dec 2, 2024

QUILLIN, TIMOTHY, JOHN

CHIEF COMPLIANCE OFFICER

yes

05/2021

Mar 10, 2021

Dec 2, 2024

Matthews, Stephanie, Robichaux

DIRECTOR OF FINANCIAL WELLNESS

01/2023

Jan 3, 2024

Dec 2, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

n/a

2024

Feb 18, 2025

n/a

2023

Jan 3, 2024

n/a

2022

Jan 3, 2023

n/a

2021

Jan 25, 2022

$10.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a