Stepp & Rothwell Inc

Stepp & Rothwell, Inc. is an investment advisory firm established in 1992 and registered as an Investment Adviser Firm in 1995. The firm offers financial planning, consulting, and investment advisory services to individuals, businesses, trusts, estates, and charitable organizations. Services include retirement planning, estate tax planning, risk management, and investment planning. Clients can engage the firm for combined financial planning and consulting services, including discretionary investment advisory services, on a fee-only basis. The firm's annual retainer fee is $7,500 plus 0.50% of total investment assets for financial planning and investment advisory services. Stepp & Rothwell does not serve as an attorney, accountant, or insurance agency. The firm does not participate in wrap fee programs and does not accept performance-based fees. Investment strategies may include long-term purchases, short-term purchases, short sales, margin transactions, and options. The firm primarily allocates client assets among mutual funds, exchange-traded funds, and fixed income securities on a discretionary basis. Stepp & Rothwell recommends Charles Schwab & Co., Inc. as the broker-dealer/custodian for client accounts. Clients are encouraged to review financial planning issues and account performance quarterly. The firm does not vote client proxies and does not solicit fees in advance exceeding $1,200 per client. Stepp & Rothwell has not been subject to disciplinary actions or bankruptcy petitions. Clients are provided with transaction confirmation notices and regular account statements directly from the custodian. For any questions, clients can contact Howard Rothwell, the Chief Compliance Officer.