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
Apo Financial Services, LLC
Latest filing Apr 1, 2026
First filing on the tape Jan 16, 2020 · 26 filings
SEC status approved since Feb 14, 2020
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$124M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$31.1M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$124M as of Apr 1, 2026
Mar 31, 2020$104M then
HNW client RAUM$10.1M as of Apr 1, 2026
Mar 31, 2020$15.4M then
State-registered IARs (5.B.3)7 as of Apr 1, 2026
Mar 31, 202010 then
Employees (5.A)7 as of Apr 1, 2026
Mar 31, 202010 then
Private funds: no history
RAUM +12% over the last fiscal year-2.1% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $31.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $133,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$114M92%
- High-net-worth individuals$10.1M8.1%
- Individual clients
- 536reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 929reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Johnny Michael Goodhue | Westminster, Co | Jan 27, 2026 | 17 y | 2 |
| John Leonard Croze | Westminster, Co | Jan 28, 2026 | 33 y | 1 |
| Kerry Ray MorrisCertified Financial Planner | Westminster, Co | Jan 30, 2026 | 18 y | 3 |
| Michael Brannon | Westminster, Co | Jul 7, 2026 | 20 y | 6 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount4 left over 36 months
Left, latest
- Katie Lynn Prosser to Ae Wealth Management, LLCApr 13, 2026 · RIA to affiliated broker-dealer or bank
- Tammy B Paxton to Gramercy Park Wealth Advisors, LLCDec 31, 2025 · RIA to a state-registered adviser
- Leah Trietiak to Singer Wealth Advisors LLCJul 9, 2024 · RIA to RIA
- Eric Paul Butler to Digital Ascension Group - WealthNov 7, 2023 · RIA to a newly registered adviser
- Brian Erle Gray to Graylark Financial, LLCMay 4, 2023 · RIA to a newly registered adviser
- Raymond John Stein to New Light FinancialApr 12, 2023 · RIA to a state-registered adviser
Joined, latest
- Michael Brannon from Allstate Financial Advisors, LLCJul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Leah Trietiak from Morgan StanleyJan 17, 2023 · Wirehouse to independent RIA
- Eric Paul Butler from Fiduciary Investment Trusts, LLCDec 14, 2021 · RIA to RIA
- Kerry Ray Morris from Horter Investment Management, LLCMar 17, 2020 · RIA to RIA
- Katie Lynn Prosser from Horter Investment Management, LLCFeb 18, 2020 · RIA to RIA
- Tammy B Paxton from Horter Investment Management, LLCFeb 18, 2020 · RIA to RIA
- Raymond John Stein from Horter Investment Management, LLCAug 9, 2019 · RIA to RIA
- Brian Erle Gray from Horter Investment Management, LLCJul 8, 2019 · RIA to RIA
- Johnny Michael Goodhue from Horter Investment Management, LLCJul 3, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Horter Investment Management, LLCDec 13, 2019 · Cincinnati, Oh
- 3 joined from Horter Investment Management, LLCAug 13, 2019 · Westminster, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Johnny Goodhue · Ceo & Ccocontrolsince 12/2018 · owns 75% or more
Related persons
Schedule D 7.A
- Apo Financial, Inc.real estatey
- Asset Protect One, Inc.real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westminster, Co · principal | 4 | 4 | 1 | ||
| Palm Beach Gardens, Fl | 1 | 1 | 0 | ||
| Saint George, Ut | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN3 employees
- Saint George, UT3 employees
- Laurium, MI2 employees
- Lone Tree, CO2 employees
- Longmont, CO2 employees
- Palm Beach Gardens, FL1 employees
What changed
consecutive filings, newest first
- Individual clients · 512 to 536Jan 8, 2026 to Apr 1, 2026
- Discretionary RAUM · $110M to $124MJan 8, 2026 to Apr 1, 2026
- HNW RAUM · $9.6M to $10.1MJan 8, 2026 to Apr 1, 2026
- Individual RAUM · $102M to $114MJan 8, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $1.4M to $0Jan 8, 2026 to Apr 1, 2026
- RAUM · $111M to $124MJan 8, 2026 to Apr 1, 2026
- Accounts · 918 to 929Mar 31, 2024 to Apr 1, 2025
- Advisory employees · 8 to 7Mar 31, 2024 to Apr 1, 2025
- BD registered reps · 1 to 0Mar 31, 2024 to Apr 1, 2025
- Corporate clients · 1 to 0Mar 31, 2024 to Apr 1, 2025
- HNW clients · 80 to 6Mar 31, 2024 to Apr 1, 2025
- Individual clients · 436 to 512Mar 31, 2024 to Apr 1, 2025
- Employees · 8 to 7Mar 31, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Mar 31, 2024 to Apr 1, 2025
- State-registered IARs · 8 to 7Mar 31, 2024 to Apr 1, 2025
- Discretionary RAUM · $100M to $110MMar 31, 2024 to Apr 1, 2025
- HNW RAUM · $64.1M to $9.6MMar 31, 2024 to Apr 1, 2025
- Individual RAUM · $35.5M to $102MMar 31, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $0 to $1.4MMar 31, 2024 to Apr 1, 2025
- RAUM · $100M to $111MMar 31, 2024 to Apr 1, 2025
- Related adviser · false to trueMar 31, 2024 to Apr 1, 2025
- Accounts · 1,130 to 918Oct 16, 2023 to Mar 31, 2024
- Advisory employees · 9 to 8Oct 16, 2023 to Mar 31, 2024
- HNW clients · 85 to 80Oct 16, 2023 to Mar 31, 2024
- Individual clients · 484 to 436Oct 16, 2023 to Mar 31, 2024
- Employees · 9 to 8Oct 16, 2023 to Mar 31, 2024
- State-registered IARs · 9 to 8Oct 16, 2023 to Mar 31, 2024
- Discretionary RAUM · $132M to $100MOct 16, 2023 to Mar 31, 2024
- HNW RAUM · $59.3M to $64.1MOct 16, 2023 to Mar 31, 2024
- Individual RAUM · $72.6M to $35.5MOct 16, 2023 to Mar 31, 2024
- RAUM · $132M to $100MOct 16, 2023 to Mar 31, 2024
- Other offices · 5 to 6May 4, 2023 to Oct 16, 2023
- Advisory employees · 11 to 9Apr 26, 2023 to May 4, 2023
- Employees · 11 to 9Apr 26, 2023 to May 4, 2023
- State-registered IARs · 11 to 9Apr 26, 2023 to May 4, 2023
- Other offices · 6 to 5Mar 31, 2023 to Apr 26, 2023
- Accounts · 997 to 1,130Nov 30, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0Nov 30, 2022 to Mar 31, 2023
- Corporate clients · unset to 1.0Nov 30, 2022 to Mar 31, 2023
- HNW clients · 32 to 85Nov 30, 2022 to Mar 31, 2023
Signals
8 dated events
- Katie Lynn Prosser left Apo Financial Services, Llc for Ae Wealth Management, Llc (registered 2026-03-18)Apr 13, 2026 · Advisor changed firm · fact
- Tammy B Paxton left Apo Financial Services, Llc for Gramercy Park Wealth Advisors, Llc (registered 2025-01-29)Dec 31, 2025 · Advisor changed firm · fact
- Leah Trietiak left Apo Financial Services, Llc for Singer Wealth Advisors Llc (registered 2024-07-20)Jul 9, 2024 · Advisor changed firm · fact
- Eric Paul Butler left Apo Financial Services, Llc for Digital Ascension Group - Wealth (registered 2023-11-14)Nov 7, 2023 · Advisor changed firm · fact
- Brian Erle Gray left Apo Financial Services, Llc for Graylark Financial, Llc (registered 2023-06-05)May 4, 2023 · Advisor changed firm · fact
- Erle Brian Gray (President And Chief Compliance Officer) no longer on Schedule A of Apo Financial Services, Llc (listed 2023-04-26, absent 2023-05-04)May 4, 2023 · Control person left · inference
- Raymond John Stein left Apo Financial Services, Llc for New Light Financial (registered 2023-06-23)Apr 12, 2023 · Advisor changed firm · fact
- Apo Financial Services, Llc filed its initial SEC registration (Form ADV)Jan 16, 2020 · 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
- Website
- apofinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (720) 588-2000reportedpublic record, Form ADV, Apr 1, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $31.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026