DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Aptus Financial, LLC
Legal name Aptus Financial LLC
Latest filing Sep 15, 2026
First filing on the tape Mar 10, 2021 · 43 filings
SEC status approved since Apr 9, 2021
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$0 as of Jun 4, 2026
Jan 25, 2022$10.5M then
HNW client RAUM: $10.5M
State-registered IARs (5.B.3)11 as of Jun 4, 2026
Jan 25, 20227 then
Employees (5.A)12 as of Jun 4, 2026
Jan 25, 20227 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 10 to 11offices 10 to 12
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.0derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, publications, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 600reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sarah Catherine GutierrezCertified Financial Planner | Little Rock, Ar | Nov 7, 2015 | 18 y | 0 |
| Timothy John QuillinChartered Financial Analyst | Little Rock, Ar | May 26, 2017 | 28 y | 1 |
| Charles Matthew DuncanChartered Financial Analyst | Little Rock, Ar | Jul 18, 2018 | 26 y | 1 |
| Erika Renae AgardCertified Financial Planner | Little Rock, Ar | Dec 12, 2023 | 12 y | 1 |
| Christopher James RoseCertified Financial Planner | Little Rock, Ar | Mar 22, 2024 | 12 y | 2 |
| Xu XuCertified Financial Planner, Chartered Financial Analyst | Lithia, Fl | May 15, 2024 | 12 y | 0 |
| Jack Christopher Wooton | Little Rock, Ar | Jun 26, 2024 | 13 y | 0 |
| Jill Marie Raderstorf | Columbus, Oh | Feb 19, 2025 | 10 y | 1 |
| Christopher Stephen KimmetCertified Financial Planner | Little Rock, Ar | Jul 29, 2025 | 14 y | 3 |
| John Andrew Ramsey | Little Rock, Ar | Aug 1, 2025 | 11 y | 0 |
| Carol Angel LinCertified Financial Planner | Little Rock, Ar | Feb 9, 2026 | 11 y | 0 |
| James Hayman | Little Rock, Ar | May 28, 2026 | 30 y | 0 |
| Andrew Donahue Kelleher | Davidson, Nc | Sep 15, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Christopher Stephen Kimmet from Hamilton CapitalJul 29, 2025 · Other
- Jill Marie Raderstorf from Hamilton CapitalFeb 19, 2025 · Other
- Christopher James Rose from Waypoint Wealth PartnersMar 22, 2024 · Other
- Erika Renae Agard from LPL Financial LLCDec 12, 2023 · Other
- Charles Matthew Duncan from StephensJul 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- Timothy John Quillin from StephensMay 26, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Matthew Charles Duncan · Director Of Financial Planningcontrolsince 07/2018 · owns less than 5%
- Catherine Sarah Gutierrez · Partner And Chief Executive Officercontrolsince 07/2011 · owns 75% or more
- John Timothy Quillin · Chief Compliance Officercontrolsince 05/2021 · owns 25% to 50%
- Robichaux Stephanie Matthews · Director Of Financial Wellnesssince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar | 13 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetJun 4, 2026 to Sep 15, 2026
- Financial planning clients · More than 500 to More than 500Jun 4, 2026 to Sep 15, 2026
- HQ city · to unsetJun 4, 2026 to Sep 15, 2026
- HQ state · to unsetJun 4, 2026 to Sep 15, 2026
- Other offices · 11 to 12Jun 4, 2026 to Sep 15, 2026
- Discretionary RAUM · 0.0 to unsetJun 4, 2026 to Sep 15, 2026
- Non-discretionary RAUM · 0.0 to unsetJun 4, 2026 to Sep 15, 2026
- RAUM · 0.0 to unsetJun 4, 2026 to Sep 15, 2026
- Related adviser · false to unsetJun 4, 2026 to Sep 15, 2026
- Related bank · false to unsetJun 4, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetJun 4, 2026 to Sep 15, 2026
- Related insurance company · false to unsetJun 4, 2026 to Sep 15, 2026
- Succession · false to unsetJun 4, 2026 to Sep 15, 2026
- Advisory employees · 10 to 11Apr 1, 2026 to Jun 4, 2026
- Employees · 11 to 12Apr 1, 2026 to Jun 4, 2026
- State-registered IARs · 10 to 11Apr 1, 2026 to Jun 4, 2026
- Other offices · 10 to 11Apr 1, 2026 to Jun 4, 2026
- Advisory employees · 9 to 10Jan 5, 2026 to Feb 10, 2026
- State-registered IARs · 9 to 10Jan 5, 2026 to Feb 10, 2026
- Other offices · 9 to 10Jan 5, 2026 to Feb 10, 2026
- Advisory employees · 10 to 9Oct 29, 2025 to Jan 5, 2026
- Employees · 12 to 11Oct 29, 2025 to Jan 5, 2026
- State-registered IARs · 10 to 9Oct 29, 2025 to Jan 5, 2026
- Other offices · 10 to 9Oct 29, 2025 to Jan 5, 2026
- Other offices · 12 to 10Aug 1, 2025 to Oct 29, 2025
- Advisory employees · 11 to 10Aug 1, 2025 to Oct 29, 2025
- Employees · 13 to 12Aug 1, 2025 to Oct 29, 2025
- State-registered IARs · 11 to 10Aug 1, 2025 to Oct 29, 2025
- Advisory employees · 10 to 11Jun 9, 2025 to Aug 1, 2025
- Employees · 10 to 13Jun 9, 2025 to Aug 1, 2025
- State-registered IARs · 10 to 11Jun 9, 2025 to Aug 1, 2025
- Other offices · 10 to 12Jun 9, 2025 to Aug 1, 2025
- Financial planning clients · More than 500 to More than 500Feb 18, 2025 to Jun 9, 2025
- Advisory employees · 9 to 10Jan 2, 2025 to Feb 18, 2025
- Employees · 9 to 10Jan 2, 2025 to Feb 18, 2025
- State-registered IARs · 9 to 10Jan 2, 2025 to Feb 18, 2025
- Other offices · 9 to 10Jan 2, 2025 to Feb 18, 2025
- Accounts · unset to 0.0Dec 2, 2024 to Jan 2, 2025
- HQ city · unset to Dec 2, 2024 to Jan 2, 2025
- HQ state · unset to Dec 2, 2024 to Jan 2, 2025
Signals
5 dated events
- Andrew Donahue Kelleher registered as an investment adviser representative at Aptus Financial, LlcSep 15, 2026 · Advisor registered · fact
- Linda Bessette (Chief Administrative Officer) no longer on Schedule A of Aptus Financial, Llc (listed 2022-08-24, absent 2022-11-11)Nov 11, 2022 · Control person left · inference
- Aptus Financial, Llc reported RAUM $10.6M, down 91% from $122.0M (2021-03-31 to 2021-05-03)May 3, 2021 · RAUM change · derived
- Matthew Charles Duncan (Senior Vice President) appeared on Schedule A of Aptus Financial, LlcMay 3, 2021 · Control person joined · fact
- Aptus Financial, Llc filed its initial SEC registration (Form ADV)Mar 10, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/APTUSFINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- APTUSFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 501-907-1993reportedpublic record, Form ADV, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026