# Steffes Financial, Ltd

> Steffes Financial, Ltd is an SEC-registered investment advisory firm in Overland Park, KS, registered since 2005, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated February 9, 2026.

- CRD: 134530
- Filed as: STEFFES FINANCIAL, LTD
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Overland Park, KS
- Filing period: October 2026
- Form ADV filing dated: February 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/134530
- AdvisorCensus page: https://advisorcensus.com/firm/steffes-financial-ltd-overland-park-ks-134530

## Quick answers

**How is Steffes Financial, Ltd compensated?**
On its Form ADV (Item 5.E, October 2026), Steffes Financial, Ltd reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Steffes Financial, Ltd located?**
Steffes Financial, Ltd's principal office is in Overland Park, KS, according to its Form ADV.

**Is Steffes Financial, Ltd registered with the SEC or a state?**
Steffes Financial, Ltd is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 134530.

**How much does Steffes Financial, Ltd manage?**
Steffes Financial, Ltd reports $611,455,054 in regulatory assets under management in its Form ADV filing dated February 9, 2026 (58% discretionary).

**How have Steffes Financial, Ltd's assets and staff changed since 2021?**
In the Form ADV data for Steffes Financial, Ltd: Regulatory assets under management: $439,453,543 in the October 2021 data and $611,455,054 in the October 2026 data, up 39%. Total employees: 5 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Steffes Financial, Ltd serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (126); high net worth individuals (92); pension and profit sharing plans (but not the plan participants or government pension plans) (47).

**Which custodians does Steffes Financial, Ltd use?**
Steffes Financial, Ltd's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Matrix Trust Company as custodians holding 10% or more of its separately managed account assets.

**Does Steffes Financial, Ltd report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134530

**What changed in Steffes Financial, Ltd's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $537,120,594 to $611,455,054 (+14%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Matrix Trust Company

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $611,455,054
- Discretionary: $354,564,670
- Non-discretionary: $256,890,384

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 126 | $50,891,307 |
| High net worth individuals | 92 | $303,673,363 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 47 | $256,890,384 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2005 (21 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: KS, MO, NE, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- steffesfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $439,453,543 | 5 | August 25, 2021 |
| October 2022 | $513,158,768 | 6 | January 25, 2022 |
| October 2023 | $429,190,944 | 5 | February 21, 2023 |
| October 2024 | $495,157,549 | 6 | March 19, 2024 |
| October 2025 | $537,120,594 | 4 | January 14, 2025 |
| October 2026 | $611,455,054 | 4 | February 9, 2026 |

Regulatory assets under management: $439,453,543 in the October 2021 data and $611,455,054 in the October 2026 data, up 39%.
Total employees: 5 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $537,120,594 to $611,455,054 (+14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Steffes Financial, Ltd (CRD 134530): Form ADV filing data as of October 2026.