Steffes Financial, Ltd
- Regulatory AUM
- $611M
- Discretionary
- $355M
- Clients
- 265
- Avg AUM / client
- $2.3M
- Accounts
- 652
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Feb 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 126 | $50.9M | 8.32% |
| High net worth individuals | 92 | $304M | 49.7% |
| Pension and profit sharing plans | 47 | $257M | 42.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Orthopedic Health Of Kansas City P. C. Profit Sharing 401(k) Plan Orthopedic Health Of Kansas City Pc | 2024 | |
| Nodaway Valley Bank 401(k) Profit Sharing Plan Nodaway Valley Bank | 2024 | |
| The Brungardt Honomichl & Company, P.A. Employees Retirement Plan Brungardt Honomichl & Company, P.A. | 2024 | |
| Sunflower Medical Group, P.A. Profit Sharing 401(k) Plan Sunflower Medical Group, P.A. | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Steffes, Gerald, Clair | President | Aug 1997 (29y) | 75% or more | |
| Grant Gerald Steffes | Vice President, Secretary And Chief Compliance Officer | CFP | Jun 2021 (5y) | Less than 5% |
| Steffes, Renee, Lynn | Director | Nov 2023 (3y) | Less than 5% | |
| Christopher Thomas Stakley | Registered representative | CFP | Sep 2014 (12y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Orthopedic Health Of Kansas City P. C. Profit Sharing 401(k) Plan | Orthopedic Health Of Kansas City Pc | 93 | $19.8M | 07/01/2024 |
| Nodaway Valley Bank 401(k) Profit Sharing Plan | Nodaway Valley Bank | 150 | $36.9M | 01/01/2024 |
| The Brungardt Honomichl & Company, P.A. Employees Retirement Plan | Brungardt Honomichl & Company, P.A. | 153 | $11.9M | 01/01/2024 |
| Sunflower Medical Group, P.A. Profit Sharing 401(k) Plan | Sunflower Medical Group, P.A. | 140 | $29.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/09/2026 | 907 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
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $456M (75% of AUM) Feb 2026
- Matrix Trust Company $106M (17% of AUM) Feb 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: Feb 09, 2026.
View current Form ADV (SEC/IAPD) ↗