Stepp & Rothwell Inc
- Regulatory AUM
- $1.1B
- Discretionary
- $954M
- Clients
- 340
- Avg AUM / client
- $3.1M
- Accounts
- 2,283
- Employees
- 25
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 65 | $26.8M | 2.54% |
| High net worth individuals | 274 | $1.0B | 95.6% |
| Charitable organizations | 1 | $19.7M | 1.87% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kathleen Ann Stepp | Chief Financial Officer/Director | CFP | Jul 1992 (34y) | Less than 5% |
| Howard Richard Rothwell | Chief Compliance Officer/Director | May 1998 (28y) | Less than 5% | |
| Kenneth Joseph Eaton | President/Director | CFP CFA | Feb 2005 (22y) | 50% – 75% |
| Amy Marie Guerich | Secretary/Treasurer/Director | Jan 2015 (12y) | 50% – 75% | |
| Ross Burkhart Lehman | Registered representative | Dec 2018 (8y) | ||
| Claudia Leeanne Gray | Registered representative | CFP | Mar 2023 (3y) | |
| Meridith L Nelson | Registered representative | CFP | Jul 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 967 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $735M (70% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗