STEPP & ROTHWELL INC
Adviser information for STEPP & ROTHWELL INC last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kansas, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,015 | $842.5M |
| Non-Discretionary | 237 | $48.2M |
| Total | 2,252 | $890.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 81 | $33.8M |
| HNW Individuals | 251 | $838.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $18.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-55489 |
|---|---|
| SEC ERA File Number | 801-55489 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107999 |
| Legal Entity Identifier | None |
Principal Office
7300 COLLEGE BOULEVARDSUITE 100
OVERLAND PARK
KS
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 913-345-4800, Fax: 913-345-4801
Chief Compliance Officer
HOWARD R. ROTHWELL
FOUNDER
7300 COLLEGE BOULEVARD
SUITE #100
OVERLAND PARK
KS
United States
Tel:
913-345-4800
Fax:
913-345-4801
H********@*******************M
(Full email address available in API data)
Regulatory Contact
KENNETH J. EATON
PRESIDENT
7300 COLLEGE BOULEVARD
SUITE #100
OVERLAND PARK
KS
United States
Tel:
913-345-4800
Fax:
913-345-4801
K*****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROTHWELL, HOWARD, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER/DIRECTOR | 05/1998 | < 5% |
| STEPP, KATHLEEN, ANN | Individual | – | CHIEF FINANCIAL OFFICER/DIRECTOR | 07/1992 | < 5% |
| EATON, KENNETH, JOSEPH | Individual | – | PRESIDENT/DIRECTOR | 02/2015 | 50-75% |
| GUERICH, AMY, MARIE | Individual | – | SECRETARY/TREASURER/DIRECTOR | 01/2015 | 50-75% |