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STEPP & ROTHWELL INC
CRD 107999File 801-55489
APPROVED
Retail clients
Custody
Filing as of Sep 9, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.06B
Above cohort median (national)
Discretionary AUM
$954.4M
Non-discretionary $100.7M
Clients
340
2,283 accounts
Employees
25
Above cohort median in KS
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- May 26, 1998
- Principal office
- 7300 COLLEGE BOULEVARD, SUITE 100, OVERLAND PARK, KS, 66210-2301
- Phone
- 913-345-4800
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.06B
- Discretionary AUM
- $954.4M
- Non-discretionary AUM
- $100.7M
- Discretionary accounts
- 1,943
- Non-discretionary accounts
- 340
- Total accounts
- 2,283
- AUM per client
- $3.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $19.7M |
| High net worth individuals | 274 | $1.01B |
| Individuals (other than high net worth individuals) | 65 | $26.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 334 | 340 | increased by6 |
| Apr 1, 2026 | AUM | $963,693,327 | $1,055,116,691 | increased by$91,423,364 |
| Apr 1, 2026 | Accounts | 2,276 | 2,283 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 22 | 25 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 291 | 334 | increased by43 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $978,891,479 | $963,693,327 | decreased by$15,198,152 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,163 | 2,276 | increased by113 |
| Apr 1, 2022 | Clients | 269 | 291 | increased by22 |
| Apr 1, 2022 | AUM | $831,562,741 | $978,891,479 | increased by$147,328,738 |
| Apr 1, 2022 | Accounts | 1,808 | 2,163 | increased by355 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “STEPP ROTHWELL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“STEPP ROTHWELL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.