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.
Stepp & Rothwell Inc
Overland Park, KS
CRD 107999
Firm filing updated September 9, 2026 ·
- $1.1BAssets
- 10Advisory staff
- 2,283Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals274
- Individuals65
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 65 | $26.8 million |
| High net worth individuals | 274 | $1.0 billion |
| Charitable organizations | Fewer than 5 clients | $19.7 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$1.1 billion
- Accounts2,283
- Discretionary$954.4 million · 1,943 accounts
- Non-discretionary$100.7 million · 340 accounts
People
- Employees25
- Advisory staff10
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients251 to 500
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 107999, SEC file 801-55489.
- Registered with the SEC as an investment advisor (status date on record: May 26, 1998).
Is Stepp & Rothwell Inc a fiduciary?
Short answer: Stepp & Rothwell Inc 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.