Data / Investment advisers / Kansas / Stepp & Rothwell Inc
Stepp & Rothwell Inc, Overland Park, KS: $1.1 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Stepp & Rothwell Inc is an SEC registered investment adviser with its main office in Overland Park, Kansas and reports $1.1 billion in regulatory assets under management in its Form ADV filed September 9, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 107999
- SEC file number
- 801-55489
- SEC status
- Approved, effective May 26, 1998
- Main office
- 7300 College Boulevard Suite 100, Overland Park, KS 66210
- Phone
- (913) 345-4800
- Regulatory AUM
- $1,055,116,691 in the Form ADV filed September 9, 2026
- Discretionary AUM
- $954,395,791
- Non discretionary AUM
- $100,720,900
- Accounts
- 2,283
- Employees
- 25, of which 10 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 9, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 274 | $1.01 billion |
| Individuals (other than high net worth individuals) | 65 | $26.8 million |
| Charitable organizations | 1 | $19.7 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $1.06 billion | March 27, 2026 |
| December 1, 2025 | $963.7 million | September 30, 2025 |
Other advisers in Overland Park
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Lexaurum Advisors | Overland Park | $1.27 billion | Not listed | adviserinfo.sec.gov |
| Keen Wealth Advisors | Overland Park | $1.23 billion | Not listed | adviserinfo.sec.gov |
| Dean Capital Management | Overland Park | $1.15 billion | Not listed | adviserinfo.sec.gov |
| Financial Partners Group, Inc. | Overland Park | $1.15 billion | Not listed | adviserinfo.sec.gov |
| Waterfront Wealth Inc. | Overland Park | $1.14 billion | Not listed | adviserinfo.sec.gov |
| Mcd-Kissner GP, LLC | Overland Park | $1.02 billion | 3 | adviserinfo.sec.gov |
| Legacy Financial Strategies, LLC | Overland Park | $952 million | Not listed | adviserinfo.sec.gov |
| PCG Wealth Management | Overland Park | $931.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Overland Park, KS
- Investment advisers in Kansas
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Stepp & Rothwell Inc on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.