{ "crd_number": 107480, "slug": "stegner-investment-associates-inc-louisville-ky-107480", "primary_business_name": "STEGNER INVESTMENT ASSOCIATES INC", "legal_name": "STEGNER INVESTMENT ASSOCIATES INC", "dbas": [], "city": "Louisville", "state": "KY", "country": "United States", "cbsa_code": "31140", "metro": { "cbsa_code": "31140", "common_name": "Louisville", "msa_name": "Louisville/Jefferson County, KY-IN", "path": "/advisors/ky/louisville" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1994-07-05", "years_registered": 32, "period": "2026-10-01", "filing_date": "2026-09-21", "carried_forward": false, "raum_total": 2768774437.0, "raum_discretionary": 2200360631.0, "raum_non_discretionary": 568413806.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 10, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 166919790.0, "count": 19 }, "individuals": { "raum": 82251616.0, "count": 101 }, "pension_profit_sharing": { "raum": 1945002002.0, "count": 14 }, "high_net_worth_individuals": { "raum": 571620189.0, "count": 101 }, "corporations_other_businesses": { "raum": 2980840.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "FL", "IL", "KY", "SC", "TN", "TX" ], "websites": [ "https://linkedin.com/company/stegner-investment-associates-inc-/mycompany?viewAsMember=true", "https://stegnerinvestments.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107480", "city_as_filed": "LOUISVILLE", "url": "https://advisorcensus.com/firm/stegner-investment-associates-inc-louisville-ky-107480", "display_name": "Stegner Investment Associates Inc", "summary": "Stegner Investment Associates Inc is an SEC-registered investment advisory firm in Louisville, KY, registered since 1994, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 21, 2026.", "citation": "AdvisorCensus. Stegner Investment Associates Inc (CRD 107480): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Stegner Investment Associates Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Stegner Investment Associates Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is Stegner Investment Associates Inc located?", "a": "Stegner Investment Associates Inc's principal office is in Louisville, KY, according to its Form ADV." }, { "q": "Is Stegner Investment Associates Inc registered with the SEC or a state?", "a": "Stegner Investment Associates Inc is an SEC-registered investment advisory firm, registered since 1994. Status as filed: Approved. CRD 107480." }, { "q": "How much does Stegner Investment Associates Inc manage?", "a": "Stegner Investment Associates Inc reports $2,768,774,437 in regulatory assets under management in its Form ADV filing dated September 21, 2026 (79% discretionary)." }, { "q": "How have Stegner Investment Associates Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for Stegner Investment Associates Inc: Regulatory assets under management: $1,461,882,489 in the October 2021 data and $2,768,774,437 in the October 2026 data, up 89%. Total employees: 10 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Stegner Investment Associates Inc serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (101); high net worth individuals (101); charitable organizations (19)." }, { "q": "Which custodians does Stegner Investment Associates Inc use?", "a": "Stegner Investment Associates Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Lincoln Financial Group Trust Company and T Rowe Price Retirement Plan Services, Inc as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Stegner Investment Associates Inc report any disciplinary disclosures?", "a": "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/107480" }, { "q": "Does Stegner Investment Associates Inc state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 24, 2026 says: \"In general, we require a minimum account size of $1,000,000 to open and maintain an advisory account which can be waived at our discretion.\"" }, { "q": "What changed in Stegner Investment Associates Inc's recent Form ADV filings?", "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1461882489.0, "total_employees": 10, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1712697257.0, "total_employees": 12, "filing_date": "2022-05-13" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1728294955.0, "total_employees": 10, "filing_date": "2023-03-15" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2119435054.0, "total_employees": 11, "filing_date": "2024-03-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2409913680.0, "total_employees": 11, "filing_date": "2025-03-21" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2768774437.0, "total_employees": 10, "filing_date": "2026-09-21" } ], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,409,913,680 to $2,768,774,437 (+15%).", "Registered or notice-filed in SC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 24, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$1,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": "$10,000", "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "In general, we require a minimum account size of $1,000,000 to open and maintain an advisory account which can be waived at our discretion." ] }, { "label": "Minimum annual fee", "statements": [ "Minimum annual fee: $10,000" ], "quotes": [ "Minimum Annual Account Fee $10,000/year" ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 1000000.0, "minimum_annual_fee": 10000.0, "planning": [] }, "quotes": [ "In general, we require a minimum account size of $1,000,000 to open and maintain an advisory account which can be waived at our discretion.", "Minimum Annual Account Fee $10,000/year" ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Lincoln Financial Group Trust Company", "name_as_filed": "LINCOLN FINANCIAL GROUP TRUST COMPANY", "affiliated": false }, { "name": "T Rowe Price Retirement Plan Services, Inc", "name_as_filed": "T ROWE PRICE RETIREMENT PLAN SERVICES, INC", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/stegner-investment-associates-inc-louisville-ky-107480.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 101, "fewer_than_5": false, "raum": 82251616.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 101, "fewer_than_5": false, "raum": 571620189.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 14, "fewer_than_5": false, "raum": 1945002002.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 19, "fewer_than_5": false, "raum": 166919790.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 2980840.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107480", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }