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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STEFFES FINANCIAL, LTD

CRD 134530

OVERLAND PARK, KS

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:52768bd7-b010-034a-7136-3f460bad0a0f

Data as of Feb 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 2, 2012 to Feb 9, 2026
22 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: independent wealth managerderivedprivate_client_share=0.58 fund_share=0.0 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $611MItem 5.F on the latest filing (2026-02-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $355M
Private client RAUM: $355MderivedItem 5.D individuals plus high net worth individuals
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $306Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 652
Individual clients: 126
High net worth clients: 92
Custody, client assets: $174M
SEC number: 801-64179
CRD: 134530
Filings on the tape: 22
First filed: Mar 2, 2012
Latest filed: Feb 9, 2026
Organised: Corporation, KS
Website: steffesfinancial.com

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
CHRISTOPHER THOMAS STAKLEY	Certified Financial Planner	OVERLAND PARK, KS	11	18	1	no
Grant Gerald Steffes	Certified Financial Planner	OVERLAND PARK, KS	5	10	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
STEFFES, GERALD, CLAIR	President	E	yes	08/1997	Mar 2, 2012	Mar 19, 2024
Steffes, Grant, Gerald	VICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER	Na	yes	11/2023	Dec 22, 2023	Mar 19, 2024
Steffes, Renee, Lynn	Director	Na	yes	11/2023	Dec 22, 2023	Mar 19, 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	Feb 9, 2026	$611M	$355M	4	3	0	n/a	n/a
2024	Jan 14, 2025	$537M	$308M	4	3	0	n/a	n/a
2023	Mar 19, 2024	$495M	$289M	6	4	0	n/a	n/a
2022	Feb 21, 2023	$429M	$247M	5	4	0	n/a	n/a
2021	Jan 25, 2022	$513M	$273M	6	4	0	n/a	n/a
2020	Feb 9, 2021	$439M	$234M	5	3	0	n/a	n/a
2019	Jan 27, 2020	$393M	$209M	7	2	0	n/a	n/a
2018	Jan 25, 2019	$315M	$167M	7	2	0	n/a	n/a
2017	Jan 25, 2018	$304M	$167M	6	2	0	n/a	n/a
2016	Mar 21, 2017	$300M	$193M	4	4	n/a	n/a	n/a
2015	Mar 25, 2016	$273M	$177M	4	4	n/a	n/a	n/a
2014	Mar 10, 2015	$239M	$173M	3	3	n/a	n/a	n/a
2013	Mar 13, 2014	$210M	$155M	2	2	n/a	n/a	n/a
2012	Feb 26, 2013	$175M	$130M	2	2	n/a	n/a	n/a
2011	Mar 2, 2012	$158M	$119M	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	$611M	$537M	13.8%	$429M	12.5%	4	4	0	0

Relationships

Registered with (3)

← Grant Gerald SteffesAdvisorregistration: current employment
Jun 17, 2021 to presentfactForm ADV
← CHRISTOPHER THOMAS STAKLEYAdvisorregistration: current employment
Sep 26, 2014 to presentfactForm ADV
← AMY RENAE WHITEAdvisorregistration: previous registration
Jan 20, 2006 to Oct 13, 2017factForm ADV

Controls (3)

← STEFFES, GERALD, CLAIROwnerPRESIDENT, ownership code E, individual
Mar 2, 2012 to Mar 19, 2024factForm ADV
← Steffes, Grant, GeraldOwnerVICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 22, 2023 to Mar 19, 2024factForm ADV
← Steffes, Renee, LynnOwnerDIRECTOR, ownership code NA, individual
Dec 22, 2023 to Mar 19, 2024factForm ADV

Dated events

Occurred
Dec 22, 2023
Control person joined
Gerald Grant Steffes (Vice President, Secretary And Chief Compliance Officer) appeared on Schedule A of Steffes Financial, Ltd
Form ADVobserved 5 days ago
Occurred
Dec 22, 2023
Control person joined
Lynn Renee Steffes (Director) appeared on Schedule A of Steffes Financial, Ltd
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52768bd7-b010-034a-7136-3f460bad0a0f
First observed: Mar 2, 2012
Last observed: Feb 9, 2026 7 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.

STEFFES FINANCIAL, LTD

CRD 134530

OVERLAND PARK, KS

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:52768bd7-b010-034a-7136-3f460bad0a0f

Data as of Feb 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:06 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER THOMAS STAKLEY

Certified Financial Planner

OVERLAND PARK, KS

Grant Gerald Steffes

Certified Financial Planner

OVERLAND PARK, KS

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STEFFES, GERALD, CLAIR

President

yes

08/1997

Mar 2, 2012

Mar 19, 2024

Steffes, Grant, Gerald

VICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER

yes

11/2023

Dec 22, 2023

Mar 19, 2024

Steffes, Renee, Lynn

Director

yes

11/2023

Dec 22, 2023

Mar 19, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 9, 2026

$611M

$355M

n/a

2024

Jan 14, 2025

$537M

$308M

n/a

2023

Mar 19, 2024

$495M

$289M

n/a

2022

Feb 21, 2023

$429M

$247M

n/a

2021

Jan 25, 2022

$513M

$273M

n/a

2020

Feb 9, 2021

$439M

$234M

n/a

2019

Jan 27, 2020

$393M

$209M

n/a

2018

Jan 25, 2019

$315M

$167M

n/a

2017

Jan 25, 2018

$304M

$167M

n/a

2016

Mar 21, 2017

$300M

$193M

n/a

2015

Mar 25, 2016

$273M

$177M

n/a

2014

Mar 10, 2015

$239M

$173M

n/a

2013

Mar 13, 2014

$210M

$155M

n/a

2012

Feb 26, 2013

$175M

$130M

n/a

2011

Mar 2, 2012

$158M

$119M

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

$611M

$537M

13.8%

$429M

12.5%