Stepp & Rothwell Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,035,424,752
Clients
339
Advisors
6
across 2 offices
About
Stepp & Rothwell is a team of seven advisors managing roughly $1.06 billion for about 339 clients. The firm serves individuals (including high‑net‑worth clients), business entities, trusts, estates and charitable organizations, offering financial planning and consulting alongside discretionary portfolio management and standalone investment supervision.
Portfolios are customized to each client's objectives with primary allocations to mutual funds, ETFs and fixed income, and accounts are reviewed on an ongoing basis. The firm employs a range of strategies — from long‑ and short‑term positions to, where authorized, options, short sales and margin — and may, on a non‑discretionary basis, recommend investments in unaffiliated private investment funds after conducting due diligence.
Distinctive elements disclosed in the brochure include the firm’s acceptance of certain trustee roles and delegated account access (including password access to retirement accounts), arrangements that give rise to custody responsibilities and additional oversight. Stepp & Rothwell also notes negotiated and grandfathered fee arrangements for legacy clients, maintains written personal‑trading and proxy policies, and generally recommends Charles Schwab as custodian while receiving certain third‑party support services.
Client services
Expertise
Fee options
Minimum fee: Annual minimum fee of $10,000 for some grandfathered clients Fee-only: Annual retainer fee of $7,500 plus 0.50% of total investment assets for combined services; 1.0% of total investment assets for investment management-only clients; fees are negotiable
Main office
See office7300 College Boulevard, Suite 100
Overland Park KS 66210-2301
Advisors at this office
4
Offices (2)
Most active in
California · Colorado · Florida · Illinois · Kansas · Maryland · Missouri · Nebraska · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Texas · Utah · Virginia · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Kenneth E
CFP®, CFA®
Overland Park, KS
Stepp & Rothwell Inc
Kenneth Eaton is a CFP® and CFA® with 21 years of experience in the financial industry. He has been with Stepp & Rothwell Inc. since 1995. Stepp & Rothwell serves individuals, business entities, trusts, estates, and charitable organizations with financial planning, consulting, and investment advisory services. The firm uses a variety of investment strategies including mutual funds, ETFs, fixed income securities, and options, and provides ongoing account reviews and customizable client arrangements.
Kathleen S
CFP®, Series 65
Park City, UT
Stepp & Rothwell Inc
Kathleen Stepp is a CFP® and Series 65 licensed financial advisor with 30 years of industry experience. She has been with Stepp & Rothwell Inc. since 1992. Stepp & Rothwell serves individuals, business entities, trusts, estates, and charitable organizations, providing financial planning, consulting, and investment advisory services. The firm employs a range of investment strategies including mutual funds, ETFs, fixed income, and uses both long- and short-term approaches, with options and margin transactions utilized where appropriate.
Meridith N
CFP®, Series 65
Overland Park, KS
Stepp & Rothwell Inc
Meridith Nelson is a CFP® and Series 65 credentialed advisor at Stepp & Rothwell Inc with five years of industry experience. Prior to joining Stepp & Rothwell, she worked in healthcare roles at OSF Healthcare and OSF St. Joseph Medical Center. Stepp & Rothwell serves individuals, business entities, trusts, estates, and charitable organizations with financial planning, consulting, and investment advisory services. The firm’s portfolios primarily include mutual funds, ETFs, and fixed income securities, employing various strategies and offering both discretionary and non-discretionary client arrangements.
Howard R
Series 63, Series 65
Park City, UT
Stepp & Rothwell Inc
Howard Rothwell is a financial advisor at Stepp & Rothwell Inc with 27 years of industry experience. He holds Series 63 and Series 65 designations and has been with Stepp & Rothwell since 1998. The firm serves individuals, business entities, trusts, estates, and charitable organizations by providing financial planning, consulting, and investment advisory services. Stepp & Rothwell’s portfolios primarily include mutual funds, exchange-traded funds, and fixed income securities, utilizing both long- and short-term strategies and offering customizable client arrangements.
Amy G
Series 65
Overland Park, KS
Stepp & Rothwell Inc
Amy Guerich is a financial advisor at Stepp & Rothwell Inc with eight years of industry experience. She holds a Series 65 designation and has been with Stepp & Rothwell since 2016. Stepp & Rothwell is a team of seven advisors managing approximately $1.06 billion for about 339 clients, including individuals, business entities, trusts, estates, and charitable organizations. The firm offers customized financial planning, discretionary portfolio management, and standalone investment supervision, employing a variety of strategies tailored to client objectives.
Ross L
Series 65
Overland Park, KS
Stepp & Rothwell Inc
Ross Lehman is a financial advisor at Stepp & Rothwell Inc. with seven years of industry experience. He holds a Series 65 designation and has been with Stepp & Rothwell since 2018. Prior to joining the firm, he worked at Notre Dame from 2015 to 2017. Stepp & Rothwell serves individuals, business entities, trusts, estates, and charitable organizations by providing financial planning, consulting, and investment advisory services. The firm uses a range of investment strategies including mutual funds, ETFs, fixed income securities, options, and margin transactions, and offers both discretionary and non-discretionary client arrangements.
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