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STEFFENS FINANCIAL CORP

BYRAM TOWNSHIP, NJ · CRD 342546 · IAPD ↗ · steffensfinancial.com · 973-786-3696

$162.0MRegulatory AUM
3Advisory reps
10Employees
0Clients
26-50Planning clients
0Private funds
8States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
October 2026 — STEFFENS FINANCIAL CORP began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
64
October 2026 — STEFFENS FINANCIAL CORP reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
October 2026 — STEFFENS FINANCIAL CORP now reports custody of client assets ($4.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
July 2026 — STEFFENS FINANCIAL CORP (BYRAM TOWNSHIP, NJ) is newly SEC-registered (provisional 120-day approval) with $0 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.