SourcingSourcing

STONE STEPS FINANCIAL, LLC

C38
CRD 175289·SEC 801-131412·ENCINITAS, CA
AUM
$146.6M
$100M-$500M
Est. Revenue
$1.5M
@ 1% on AUM
Est. EBITDA
$440K
@ 30% margin
Est. Deal Value
$3.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STONE STEPS FINANCIAL, LLC
CRD
175289
SEC file #
801-131412
EIN
—
DBA names
—

Economics

AUM
$146.6M
AUM band
$100M-$500M
AUM trajectory
'25'26
$105.4M → $146.6M▲ +39%
Client mix
Individuals Other86
Individuals High Net Worth52

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
3 advisors → 4 advisors▲ +33%
Primary office
ENCINITAS CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
linkedin.com/in/scottrfrank(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FRANK, SCOTT, ROBERT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
FRANK, SCOTT, ROBERT
HOLLMAN, KINGSTON, MARLAND
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5408098
Trust Company Affiliate
No

People (3)

3
FRANK, SCOTT, ROBERT
IAR · Direct Owner · 87.5%
5408098
KINGSTON MARLAND HOLLMAN
Executive Officer · 2.5%
5563826
ANTON FAWVER MADSEN
IAR
5345196