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KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
CRD 112414 · SEC 801-121974
4 PARK PLAZA, STE. 1010, IRVINE, CA, 92614, United States
Phone
800-557-5461
Fax
949-443-2039
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$232.7M
Discretionary AUM
$232.7M
Team
5 total employees; 3 advisory reps
Clients
—
Fees
Percentage of AUM; Subscription fees; ONLINE EDUCATIONAL CLASSES
Org form
Corporation
Filing date
2026-05-06
Disciplinary history
No
Services
Portfolio management (individuals)Publication of periodicalsEducational seminars
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 277 | $116.9M |
| High net worth individuals | 59 | $114.9M |
| Charitable organizations | 1 | $768K |
| Corporations/business entities | 1 | $53K |
States served
AZ, CA, GA, IL, LA, MN, NJ, NY, NC, PA, SC, UT, VA, WA, TX, FL
All web addresses on file
Official SEC filing: View on IAPD