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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

STEGNER INVESTMENT ASSOCIATES INC

CRD 107480

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40c07808-b8ca-3cc6-0e22-27fad7d9b109

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Mar 24, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.24 fund_share=0.0 institutional_share=0.76 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.8BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
Private client RAUM: $654MderivedItem 5.D individuals plus high net worth individuals
Private client share: 24%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $554Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 820
Individual clients: 101
High net worth clients: 101
Custody, client assets: $185M
SEC number: 801-46803
CIK: 1907433
CRD: 107480
Filings on the tape: 24
First filed: Mar 29, 2012
Latest filed: Mar 24, 2026
Organised: Other (specify), KY

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RUTH WIMSATT TRAUTWEIN	Certified Financial Planner	LOUISVILLE, KY	21	22	n/a	no
BRANDON DANT	Certified Financial Planner	LOUISVILLE, KY	6	11	2	no
ANDRE LAMAR MCLEAN	n/a	LOUISVILLE, KY	4	10	n/a	no
ELIZABETH STEGNER PEABODY	n/a	LOUISVILLE, KY	4	32	1	no
Nicholas Adam Jeffs	Chartered Financial Analyst	LOUISVILLE, KY	0	12	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PEABODY, DOUGLAS, DARE	PRESIDENT & CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	Mar 24, 2026	Mar 24, 2026
PEABODY, ELIZABETH, STEGNER	CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER	E	yes	01/1994	Mar 24, 2026	Mar 24, 2026
EVERS, JOHN	DIRECTOR OF RESEARCH	A	no	01/2023	Mar 24, 2026	Mar 24, 2026
VELLA, MELISSA, STEGNER	SENIOR ASSOCIATE	Na	no	01/2017	Mar 24, 2026	Mar 24, 2026
TRAUTWEIN, RUTH, WIMSATT	DIRECTOR OF PORTFOLIO MANAGEMENT	B	no	01/2023	Mar 31, 2016	Mar 21, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$2.8B	$2.2B	10	5	0	n/a	n/a
2024	Mar 21, 2025	$2.4B	$1.9B	11	5	0	n/a	n/a
2023	Mar 11, 2024	$2.1B	$1.7B	11	5	0	n/a	n/a
2022	Mar 15, 2023	$1.7B	$1.4B	10	4	0	n/a	n/a
2021	Mar 22, 2022	$1.7B	$1.6B	12	6	0	n/a	n/a
2020	Mar 31, 2021	$1.5B	$578M	10	5	0	n/a	n/a
2019	Mar 27, 2020	$1.2B	$508M	10	5	0	n/a	n/a
2018	Mar 29, 2019	$980M	$449M	10	5	1	n/a	n/a
2017	Mar 30, 2018	$1.0B	$446M	8	5	1	n/a	n/a
2016	Mar 30, 2017	$768M	$361M	6	3	n/a	n/a	n/a
2015	Mar 31, 2016	$711M	$338M	3	3	n/a	n/a	n/a
2014	Mar 24, 2015	$688M	$323M	3	3	n/a	n/a	n/a
2013	Mar 26, 2014	$817M	$278M	3	3	n/a	n/a	n/a
2012	Apr 1, 2013	$587M	$221M	3	3	n/a	n/a	n/a
2011	Mar 29, 2012	$548M	$216M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.8B	$2.4B	14.9%	$1.7B	17.0%	10	11	0	0

Relationships

Registered with (10)

← Nicholas Adam JeffsAdvisorregistration: current employment
Oct 15, 2025 to presentfactForm ADV
← ELIZABETH STEGNER PEABODYAdvisorregistration: previous registration
Jun 20, 1994 to Dec 31, 2004factForm ADV
← ANDRE LAMAR MCLEANAdvisorregistration: current employment
Feb 15, 2022 to presentfactForm ADV
← BRANDON DANTAdvisorregistration: current employment
Dec 12, 2019 to presentfactForm ADV
← RUTH WIMSATT TRAUTWEINAdvisorregistration: current employment
Mar 14, 2005 to presentfactForm ADV
← Leslie Shockley BallantineAdvisorregistration: previous registration
Jan 7, 2020 to May 7, 2021factForm ADV
← Abigail Powell WrinkleAdvisorregistration: previous registration
Jan 31, 2020 to Jul 21, 2020factForm ADV
← Ava Jackie NivensAdvisorregistration: previous registration
Apr 4, 2017 to Oct 11, 2019factForm ADV
← CLIFTON BRENT SMITHAdvisorregistration: previous registration
Mar 9, 2007 to Mar 19, 2012factForm ADV
← KRISTIN V DUNLEVYAdvisorregistration: previous registration
Mar 2, 2005 to Mar 18, 2011factForm ADV

Controls (2)

← PEABODY, DOUGLAS, DAREOwnerPRESIDENT & CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2020 to Mar 21, 2024factForm ADV
← PEABODY, ELIZABETH, STEGNEROwnerCHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 29, 2012 to Mar 21, 2024factForm ADV

Owns (3)

← TRAUTWEIN, RUTH, WIMSATTOwnerDIRECTOR OF PORTFOLIO MANAGEMENT, ownership code B, individual
Mar 31, 2016 to Mar 21, 2024factForm ADV
← EVERS, JOHNOwnerDIRECTOR OF RESEARCH, ownership code NA, individual
Mar 15, 2023 to Mar 21, 2024factForm ADV
← VELLA, MELISSA, STEGNEROwnerSENIOR ASSOCIATE, ownership code NA, individual
Mar 31, 2021 to Mar 21, 2024factForm ADV

Dated events

Occurred
Mar 27, 2020
Control person joined
Dare Douglas Peabody (President & Chief Operating Officer) appeared on Schedule A of Stegner Investment Associates Inc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
Stegner Investment Associates Inc reported RAUM $1.0B, up 31% from $768.4M (2017-03-30 to 2018-03-30)
Form ADVobserved 6 days ago
$236M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40c07808-b8ca-3cc6-0e22-27fad7d9b109
First observed: Mar 29, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STEGNER INVESTMENT ASSOCIATES INC

CRD 107480

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40c07808-b8ca-3cc6-0e22-27fad7d9b109

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RUTH WIMSATT TRAUTWEIN

Certified Financial Planner

LOUISVILLE, KY

n/a

BRANDON DANT

Certified Financial Planner

LOUISVILLE, KY

ANDRE LAMAR MCLEAN

n/a

LOUISVILLE, KY

n/a

ELIZABETH STEGNER PEABODY

n/a

LOUISVILLE, KY

Nicholas Adam Jeffs

Chartered Financial Analyst

LOUISVILLE, KY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PEABODY, DOUGLAS, DARE

PRESIDENT & CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER

yes

05/2019

Mar 24, 2026

PEABODY, ELIZABETH, STEGNER

CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER

yes

01/1994

Mar 24, 2026

EVERS, JOHN

DIRECTOR OF RESEARCH

01/2023

Mar 24, 2026

VELLA, MELISSA, STEGNER

SENIOR ASSOCIATE

01/2017

Mar 24, 2026

TRAUTWEIN, RUTH, WIMSATT

DIRECTOR OF PORTFOLIO MANAGEMENT

01/2023

Mar 31, 2016

Mar 21, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$2.8B

$2.2B

n/a

2024

Mar 21, 2025

$2.4B

$1.9B

n/a

2023

Mar 11, 2024

$2.1B

$1.7B

n/a

2022

Mar 15, 2023

$1.7B

$1.4B

n/a

2021

Mar 22, 2022

$1.7B

$1.6B

n/a

2020

Mar 31, 2021

$1.5B

$578M

n/a

2019

Mar 27, 2020

$1.2B

$508M

n/a

2018

Mar 29, 2019

$980M

$449M

n/a

2017

Mar 30, 2018

$1.0B

$446M

n/a

2016

Mar 30, 2017

$768M

$361M

n/a

2015

Mar 31, 2016

$711M

$338M

n/a

2014

Mar 24, 2015

$688M

$323M

n/a

2013

Mar 26, 2014

$817M

$278M

n/a

2012

Apr 1, 2013

$587M

$221M

n/a

2011

Mar 29, 2012

$548M

$216M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.8B

$2.4B

14.9%

$1.7B

17.0%