SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Steffes Financial, Ltd
Overland Park, KS
CRD 134530
Firm filing updated February 9, 2026 ·
- $611.5MAssets
- 265Clients
- 3Advisory staff
- 652Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals126
- High net worth individuals92
- Pension and profit sharing plans47
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 126 | $50.9 million |
| High net worth individuals | 92 | $303.7 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 47 | $256.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Assets and accounts
- Regulatory assets$611.5 million
- Accounts652
- Discretionary$354.6 million · 605 accounts
- Non-discretionary$256.9 million · 47 accounts
People
- Employees4
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients51 to 100
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 134530, SEC file 801-64179.
- Registered with the SEC as an investment advisor (status date on record: April 15, 2005).
Is Steffes Financial, Ltd a fiduciary?
Short answer: Steffes Financial, Ltd is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.