{
  "crd_number": 107999,
  "slug": "stepp-and-rothwell-inc-overland-park-ks-107999",
  "primary_business_name": "STEPP & ROTHWELL INC",
  "legal_name": "STEPP & ROTHWELL INC",
  "dbas": [],
  "city": "Overland Park",
  "state": "KS",
  "country": "United States",
  "cbsa_code": "28140",
  "metro": {
    "cbsa_code": "28140",
    "common_name": "Kansas City",
    "msa_name": "Kansas City, MO-KS",
    "path": "/advisors/mo/kansas-city"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1998-05-26",
  "years_registered": 28,
  "period": "2026-10-01",
  "filing_date": "2026-09-09",
  "carried_forward": false,
  "raum_total": 1055116691.0,
  "raum_discretionary": 954395791.0,
  "raum_non_discretionary": 100720900.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 25,
  "advisory_employees": 10,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": 19691939.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 26785912.0,
      "count": 65
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1008638840.0,
      "count": 274
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "FL",
    "IL",
    "KS",
    "MD",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "PA",
    "TX",
    "UT",
    "VA",
    "WA"
  ],
  "websites": [
    "https://facebook.com/STEPPANDROTHWELL",
    "https://linkedin.com/COMPANY/28980005/ADMIN",
    "https://steppandrothwell.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107999",
  "city_as_filed": "OVERLAND PARK",
  "url": "https://advisorcensus.com/firm/stepp-and-rothwell-inc-overland-park-ks-107999",
  "display_name": "Stepp & Rothwell Inc",
  "summary": "Stepp & Rothwell Inc is an SEC-registered investment advisory firm in Overland Park, KS, registered since 1998, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 9, 2026.",
  "citation": "AdvisorCensus. Stepp & Rothwell Inc (CRD 107999): 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": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Stepp & Rothwell Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Stepp & Rothwell Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Stepp & Rothwell Inc located?",
      "a": "Stepp & Rothwell Inc's principal office is in Overland Park, KS, according to its Form ADV."
    },
    {
      "q": "Is Stepp & Rothwell Inc registered with the SEC or a state?",
      "a": "Stepp & Rothwell Inc is an SEC-registered investment advisory firm, registered since 1998. Status as filed: Approved. CRD 107999."
    },
    {
      "q": "How much does Stepp & Rothwell Inc manage?",
      "a": "Stepp & Rothwell Inc reports $1,055,116,691 in regulatory assets under management in its Form ADV filing dated September 9, 2026 (90% discretionary)."
    },
    {
      "q": "How have Stepp & Rothwell Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Stepp & Rothwell Inc: Regulatory assets under management: $831,562,741 in the October 2021 data and $1,055,116,691 in the October 2026 data, up 27%. Total employees: 22 in October 2021 and 25 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Stepp & Rothwell Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (274); individuals (other than high net worth individuals) (65); charitable organizations (1)."
    },
    {
      "q": "Which custodians does Stepp & Rothwell Inc use?",
      "a": "Stepp & Rothwell Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Stepp & Rothwell 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/107999"
    },
    {
      "q": "What changed in Stepp & Rothwell Inc's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Registered or notice-filed in MD."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 831562741.0,
      "total_employees": 22,
      "filing_date": "2021-09-16"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 978891479.0,
      "total_employees": 22,
      "filing_date": "2022-08-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 772903072.0,
      "total_employees": 22,
      "filing_date": "2023-04-14"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 890700941.0,
      "total_employees": 22,
      "filing_date": "2024-09-18"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 963693327.0,
      "total_employees": 25,
      "filing_date": "2025-04-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1055116691.0,
      "total_employees": 25,
      "filing_date": "2026-09-09"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Registered or notice-filed in MD."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., 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/stepp-and-rothwell-inc-overland-park-ks-107999.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 65,
      "fewer_than_5": false,
      "raum": 26785912.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 274,
      "fewer_than_5": false,
      "raum": 1008638840.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 19691939.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "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/107999",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}