# Aptus Financial, LLC

> Aptus Financial, LLC is an SEC-registered investment advisory firm in Little Rock, AR, registered since 2021, with no regulatory assets under management reported in its Form ADV filing dated September 15, 2026.

- CRD: 280033
- Filed as: APTUS FINANCIAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Little Rock, AR
- Filing period: October 2026
- Form ADV filing dated: September 15, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/280033
- AdvisorCensus page: https://advisorcensus.com/firm/aptus-financial-llc-little-rock-ar-280033

## Quick answers

**How is Aptus Financial, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Aptus Financial, LLC reports these compensation arrangements: fixed fees (other than subscription fees).

**Where is Aptus Financial, LLC located?**
Aptus Financial, LLC's principal office is in Little Rock, AR, according to its Form ADV.

**Is Aptus Financial, LLC registered with the SEC or a state?**
Aptus Financial, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 280033.

**How have Aptus Financial, LLC's assets and staff changed since 2021?**
In the Form ADV data for Aptus Financial, LLC: Total employees: 7 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.

**Does Aptus Financial, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/280033

**What changed in Aptus Financial, LLC's recent Form ADV filings?**
In the July 2026 filing data: Employees performing advisory functions went from 10 to 11.

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Advisory services (Item 5.G)
- Financial planning services
- Pension consulting services
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2021 (5 years)
- Employees: 12 total, 11 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, AZ, CA, CO, CT, FL, GA, IL, IN, LA, MA, MD, MI, MN, MO, MS, NC, NE, NH, NJ, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WI
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/280033

### Websites listed on Form ADV (Item 1.I)
- aptusfinancial.com
- Facebook @APTUSFINANCIAL
- Instagram @APTUS.FINANCIAL
- LinkedIn @APTUSFINANCIAL
- X @APTUSFINANCIAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $10,725,750 | 7 | July 28, 2021 |
| October 2022 | Not reported | 8 | August 24, 2022 |
| October 2023 | Not reported | 8 | August 31, 2023 |
| October 2024 | Not reported | 9 | July 2, 2024 |
| October 2025 | Not reported | 10 | June 9, 2025 |
| October 2026 | Not reported | 12 | September 15, 2026 |

Total employees: 7 in October 2021 and 12 in October 2026.

## Changes in the filing (last 12 months)

### July 2026
- Employees performing advisory functions went from 10 to 11.

### May 2026
- Registered or notice-filed in AZ.

### March 2026
- Employees performing advisory functions went from 9 to 10.

### February 2026
- Employees performing advisory functions went from 10 to 9.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Aptus Financial, LLC (CRD 280033): Form ADV filing data as of October 2026.