Klein Pavlis & Peasley Financial, Inc.
● SEC registered since 2021CRD 112414SEC# 801-121974Irvine, CA
Reg. AUM
$232.7M
Employees
5
Accounts
808
Location
Irvine, CA
Klein Pavlis & Peasley Financial, Inc. assets under management
Klein Pavlis & Peasley Financial, Inc. operates as an SEC-registered investment adviser based in Irvine, CA. The firm has been registered since 2021. It reports $232.7 million in regulatory assets under management and employs 5 people.
Klein Pavlis & Peasley Financial, Inc. owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Jason Robert Topor Control | Chief Compliance Officer | Under 5% | 2019 |
| Justin Alan Klein Control | Ceo & Secretary/Treasurer | Over 75% | 2012 |
Frequently asked questions
How much does Klein Pavlis & Peasley Financial, Inc. manage?
Klein Pavlis & Peasley Financial, Inc. reports $232.7 million in regulatory assets under management on its Form ADV.
How many employees does Klein Pavlis & Peasley Financial, Inc. have?
Klein Pavlis & Peasley Financial, Inc. reports 5 employees.
Where is Klein Pavlis & Peasley Financial, Inc. located?
Klein Pavlis & Peasley Financial, Inc. is based in Irvine, CA and has been SEC-registered since 2021.
Does Klein Pavlis & Peasley Financial, Inc. disclose fund performance?
Klein Pavlis & Peasley Financial, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 4 Park Plaza, Ste. 1010, Irvine, CA 92614 |
| Phone | 800-557-5461 |
| Fax | 949-443-2039 |
| Office hours | 6:30a.m.-2:30p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| Discloses disciplinary history | Yes |
Regulatory AUM
$232.7M▲ 26%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 70%
Larger than 30% of 16,271 advisers
EmployeesTop 62%
More than 38% of 16,825 advisers
Assets under management
$232.7Mregulatory AUM
Discretionary $232.7M