DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Stepp & Rothwell Inc
Latest filing Sep 9, 2026
First filing on the tape Mar 30, 2012 · 52 filings
SEC status approved since May 26, 1998
RAUM
$1.1B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
98%
$1.0B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
25
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Mar 30, 2012$411M then
HNW client RAUM$1.0B as of Mar 27, 2026
Mar 30, 2018$581M then
State-registered IARs (5.B.3)10 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)25 as of Mar 27, 2026
Mar 28, 201315 then
Private funds: no history
RAUM +9.5% over the last fiscal year+11% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $462,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $894M, 339 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B96%
- Individuals$26.8M2.5%
- Charitable organizations$19.7M1.9%
- Individual clients
- 65reported
- HNW clients
- 274reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 2,283reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $894M for 339 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kathleen Ann SteppCertified Financial Planner | Park City, Ut | Jul 26, 1995 | 34 y | 0 |
| Kenneth Joseph EatonCertified Financial Planner, Chartered Financial Analyst | Overland Park, Ks | Feb 4, 2005 | 30 y | 0 |
| Amy Marie Guerich | Overland Park, Ks | Jul 11, 2018 | 15 y | 0 |
| Ross Burkhart Lehman | Overland Park, Ks | Dec 5, 2018 | 11 y | 0 |
| Meridith L NelsonCertified Financial Planner | Overland Park, Ks | Jul 10, 2025 | 18 y | 0 |
| Howard Richard Rothwell | Park City, Ut | Dec 18, 2025 | 41 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount5 left over 36 months
Left, latest
- Claudia Leeanne Gray to Nova R Wealth, Inc.Jul 30, 2026 · RIA to RIA
- Daniel Eugene Shay to Creative PlanningMar 13, 2026 · RIA to RIA
- Derrick R Evers to Umb Private Wealth Management, LLCMar 13, 2026 · Other
- Brooklyn Rose Maldonado to Legacy Financial Strategies, LLCMay 23, 2024 · RIA to RIA
- Brooklyn Gormly to Range Advisory, LLCMay 23, 2024 · RIA to RIA
- Aubrianna Nicole Peck to Mid-American Wealth Advisory GroupApr 3, 2023 · RIA to RIA
- Todd Christian Ericson to Creative PlanningJun 3, 2022 · RIA to RIA
- Marjorie Louise Neech to LPL Financial LLCDec 3, 2021 · RIA to affiliated broker-dealer or bank
- Austin C Kuehl to LPL Financial LLCFeb 4, 2021 · RIA to affiliated broker-dealer or bank
- Larissa Kristine Grantham to Versant Capital Management, Inc.Aug 27, 2019 · RIA to RIA
- Jennifer Sue Henry to Creative PlanningAug 7, 2019 · RIA to RIA
- Daniel Sandom Pontarelli to Creative PlanningSep 5, 2017 · Other
- Adam Gregory Hoopes to Creative PlanningSep 5, 2017 · Other
- Eric Dane Jones to Creative PlanningApr 6, 2017 · Other
- Bradford Preston Mecklenburg to Copper FinancialJul 27, 2016 · Other
Joined, latest
- Daniel Eugene Shay from Securian Financial Services, Inc.Jul 2, 2018 · Other
- Todd Christian Ericson from Edward JonesJul 29, 2015 · Other
- Bradford Preston Mecklenburg from American Century Advisory Services, Inc.Jun 2, 2015 · Other
- Melissa Jane Ellis from Barber Financial GroupSep 11, 2014 · Other
- Daniel Sandom Pontarelli from Edward JonesApr 16, 2014 · Other
- Kurt Charles Commerford from Brookstreet Securities CorporationOct 19, 2007 · Other
- Adam Gregory Hoopes from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 19, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Creative PlanningSep 5, 2017 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Kenneth Eaton · President/Directorcontrolsince 02/2015 · owns 50% to 75%
- Marie Amy Guerich · Secretary/Treasurer/Directorcontrolsince 01/2015 · owns 50% to 75%
- Richard Howard Rothwell · Chief Compliance Officer/Directorcontrolsince 05/1998 · owns less than 5%
- Ann Kathleen Stepp · Chief Financial Officer/Directorcontrolsince 07/1992 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 6 | 1 | 3 | ||
| Park City, Ut | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 9, 2026employees per registered advisor of 4.2 against a peer median of 1.5 (1100 comparable advisers, 98.0th percentile, 5.5 robust deviations)peers: independent wealth managers, $1B to $5B (1,100) · 98% percentile
- control person changedChange between filings · filing Sep 9, 2026GUERICH, AMY, MARIE (SECRETARY/TREASURER/DIRECTOR) left Schedule A between the filings of 2018-05-01 and 2026-09-09peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Mar 27, 2026 to Sep 9, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 9, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 9, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 9, 2026
- Succession · false to unsetMar 27, 2026 to Sep 9, 2026
- Accounts · 2,276 to 2,283Sep 30, 2025 to Mar 27, 2026
- Charity clients · unset to 1.0Sep 30, 2025 to Mar 27, 2026
- Individual clients · 60 to 65Sep 30, 2025 to Mar 27, 2026
- Assets in custody · $808M to $894MSep 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $874M to $954MSep 30, 2025 to Mar 27, 2026
- HNW RAUM · $921M to $1.0BSep 30, 2025 to Mar 27, 2026
- Individual RAUM · $23.9M to $26.8MSep 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $90.0M to $101MSep 30, 2025 to Mar 27, 2026
- RAUM · $964M to $1.1BSep 30, 2025 to Mar 27, 2026
- Accounts · 2,252 to 2,276Sep 18, 2024 to Apr 9, 2025
- HNW clients · 251 to 274Sep 18, 2024 to Apr 9, 2025
- Individual clients · 81 to 60Sep 18, 2024 to Apr 9, 2025
- Assets in custody · $791M to $808MSep 18, 2024 to Apr 9, 2025
- Employees · 22 to 25Sep 18, 2024 to Apr 9, 2025
- Financial planning clients · 251-500 to 251-500Sep 18, 2024 to Apr 9, 2025
- Discretionary RAUM · $842M to $874MSep 18, 2024 to Apr 9, 2025
- HNW RAUM · $839M to $921MSep 18, 2024 to Apr 9, 2025
- Individual RAUM · $33.8M to $23.9MSep 18, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $48.2M to $90.0MSep 18, 2024 to Apr 9, 2025
- RAUM · $891M to $964MSep 18, 2024 to Apr 9, 2025
- Accounts · 2,215 to 2,252Apr 14, 2023 to Mar 30, 2024
- HNW clients · 240 to 251Apr 14, 2023 to Mar 30, 2024
- Individual clients · 78 to 81Apr 14, 2023 to Mar 30, 2024
- Assets in custody · $693M to $791MApr 14, 2023 to Mar 30, 2024
- Discretionary RAUM · $742M to $842MApr 14, 2023 to Mar 30, 2024
- HNW RAUM · $728M to $839MApr 14, 2023 to Mar 30, 2024
- Individual RAUM · $27.7M to $33.8MApr 14, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $30.4M to $48.2MApr 14, 2023 to Mar 30, 2024
- RAUM · $773M to $891MApr 14, 2023 to Mar 30, 2024
- Accounts · 2,163 to 2,215Aug 3, 2022 to Mar 28, 2023
- Advisory employees · 9 to 10Aug 3, 2022 to Mar 28, 2023
- HNW clients · 245 to 240Aug 3, 2022 to Mar 28, 2023
- Individual clients · 46 to 78Aug 3, 2022 to Mar 28, 2023
- Assets in custody · $870M to $693MAug 3, 2022 to Mar 28, 2023
Signals
7 dated events
- Claudia Leeanne Gray left Stepp & Rothwell Inc for Nova R Wealth, Inc. (registered 2026-08-26)Jul 30, 2026 · Advisor changed firm · fact
- Daniel Eugene Shay left Stepp & Rothwell Inc for Creative Planning (registered 2026-03-25)Mar 13, 2026 · Advisor changed firm · fact
- Derrick R Evers left Stepp & Rothwell Inc for Umb Private Wealth Management, Llc (registered 2026-05-13)Mar 13, 2026 · Advisor changed firm · fact
- Brooklyn Gormly left Stepp & Rothwell Inc for Range Advisory, Llc (registered 2024-06-26)May 23, 2024 · Advisor changed firm · fact
- Brooklyn Rose Maldonado left Stepp & Rothwell Inc for Legacy Financial Strategies, Llc (registered 2024-06-13)May 23, 2024 · Advisor changed firm · fact
- Aubrianna Nicole Peck left Stepp & Rothwell Inc for Mid-American Wealth Advisory Group (registered 2023-05-18)Apr 3, 2023 · Advisor changed firm · fact
- Todd Christian Ericson left Stepp & Rothwell Inc for Creative Planning (registered 2022-06-15)Jun 3, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@steppandrothwell.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-507-4800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-345-4800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-345-4801reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/28980005/ADMINreportedpublic record, Form ADV, Sep 17, 2026
- Website
- STEPPANDROTHWELL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-345-4800reportedpublic record, Form ADV, Sep 9, 2026
- Contact form
- steppandrothwell.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- steppandrothwell.com/about/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026