Lockstep Financial Llc
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ADV data as of Mar 20, 2026
- Regulatory AUM
- $1.2M
- Discretionary
- $1.2M
- Clients
- 12
- Avg AUM / client
- $102K
- Accounts
- 18
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 12 | $1.2M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kendell Johnson Phillip | Registered representative | Jan 2025 (2y) |
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) | 03/20/2026 | 1.01 MB | 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
- • Other fees
- • EDUCATION WORKSHOPS & SPEAKING ENGAGEMENTS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $504K (41% of AUM) Mar 2026
- Fidelity Brokerage Services $393K (32% of AUM) Mar 2026
- Lincoln Financial Investment Services Corporation $163K (13% of AUM) Mar 2026
- Pershing $162K (13% 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 20, 2026.
View current Form ADV (SEC/IAPD) ↗