SEC-registered independent wealth management RIA
Aptus Financial, LLC
As of its Form ADV filed September 15, 2026, Aptus Financial, LLC, an SEC-registered independent wealth management RIA in Little Rock, Arkansas, reported no regulatory assets under management.
Registration
- Main office
- Little Rock, AR
- Registration
- SEC-registered, Approved
- CRD number
- 280033
- SEC file number
- 801-120751
- Registered since
- April 9, 2021
- Latest Form ADV filing
- September 15, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 12
Key figures
- Regulatory assets under management
- $0
- Discretionary
- $0
- Non-discretionary
- $0
- Accounts
- 0 (0 discretionary)
- Clients
- 634, approximate as reported
- Employees
- 12
- Advisory staff
- 11 performing investment advisory functions
- Average account
- Not reported
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- -100.0% (from $10.7 million five years earlier)
- Client growth, 1 year
- 12.2% (from 565)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Arkansas | Value |
|---|---|---|---|
| Independent RIAs with the most clients | #1,692 | #8 | 634 |
| Independent RIAs with the fastest client growth over one year | #1,232 | #7 | 12.2%from 565 |
| Independent RIAs with the most advisory staff | #976 | #5 | 11 |
| Independent RIAs with the most CFP professionals | #547 | #3 | 6 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 4, 2021 | $10.7 million |
| October 3, 2022 | $0 |
| October 5, 2023 | $0 |
| October 1, 2024 | $0 |
| September 2, 2025 | $0 |
| October 2, 2026 | $0 |
Clients and services
Client mix
No client types reported.
How the firm is paid
- Fixed fees
Advisory services
- Financial planning
- Pension consulting
- Publication of periodicals or newsletters
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 600.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 13
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 11
Designations held by the firm's IARs: CFP 6, CFA 3.
Between 3 and 8 of the firm's 13 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arkansas
| Firm | City | RAUM |
|---|---|---|
| Tekton Wealth Advisors | Lowell | $0 |
| Ironclad Income Strategies LLC | Gravette | $0 |
| Rainbrook Capital LLC | Little Rock | $0 |
| Asheri Grove Financial Planning | Conway | $0 |
| Reframe Wealth Strategies | Harrison | $0 |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Aptus Financial, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: aptusfinancial.com
- Independent RIAs in Arkansas
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.