Steven D. Roth
Professional summary
Steven Donn Roth, CFA, who also goes by Steve Roth, is a registered financial advisor currently at DEAN CAPITAL MANAGEMENT located in Overland Park, Kansas.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Steven has worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Donn Roth's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2008 - Present
DEAN CAPITAL MANAGEMENT
Office #1: 7400 West 130th Street Suite 350, Overland Park, KS 66213Primary Firm SEC Registration
DEAN CAPITAL MANAGEMENT
CRD#: 145666 / SEC#: 801-68942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/31/2008)
Exams
Current Firm
DEAN CAPITAL MANAGEMENT
CRD#: 145666 / SEC#: 801-68942
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 502 |
| AUM (Assets Under Management) | $ 1,133,464,465 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/23/2024 | ||
| 08/23/2023 | ||
| 02/22/2023 |
Red Flags
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