Scott Robert Frank
CFP®Professional Summary
Scott Robert Frank, CFP® is a registered financial advisor currently at STONE STEPS FINANCIAL, LLC located in Encinitas, California. Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Estate & Legacy Planning
- Investment Management
- Risk Management & Insurance
- Tax Planning
- Education Funding
- Business Services
- Retirement Planning
- Financial Planning
- Cashflow & Budgeting
Biography
I live in a little beach town, Cardiff by the Sea, just north of San Diego with my wife, Amanda, our son, Lucas, and our dogs, Maddie & Sofia. When I’m not geeking out on financial news or white papers you’ll find me surfing with friends (Stone Steps is named for a surf break just a few minutes north of my house), running along the Pacific Coast Highway, or spending time with my family.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
NEW LEAF FINANCIAL GUIDANCE | STONE STEPS FINANCIAL, LLC
Contact Information
Main Address
533 Second Street, Suite 207, Encinitas, CA 92024Phone Number
(760) 456-7147# of Employees
6SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
613AUM (Assets Under Management)
$146,585,773Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2026 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
NEW LEAF FINANCIAL GUIDANCE | STONE STEPS FINANCIAL, LLC
State Registrations and Notice Filings
(5/7/2026)
(5/7/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Robert Frank's CRS (Customer Relationship Summary).
Services Offered by Scott
- Estate & Legacy Planning
- Investment Management
- Risk Management & Insurance
- Tax Planning
- Education Funding
- Business Services
- Retirement Planning
- Financial Planning
- Cashflow & Budgeting
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