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STONE STEPS FINANCIAL, LLC

ENCINITAS, CA · CRD 175289 · IAPD ↗ · 760-456-7147

$146.6MRegulatory AUM
4Advisory reps
6Employees
0Clients
51-100Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

62
April 2026 — STONE STEPS FINANCIAL, LLC reported RAUM up 39% ($105.4M -> $146.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
March 2026 — STONE STEPS FINANCIAL, LLC added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
December 2025 — STONE STEPS FINANCIAL, LLC added office(s): 0 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
December 2025 — STONE STEPS FINANCIAL, LLC now reports custody of client assets ($6.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
December 2024 — STONE STEPS FINANCIAL, LLC (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.