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KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
CRD 112414File 801-121974
APPROVED
Retail clients
Disclosure events
Filing as of May 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$232.7M
Below cohort median (national)
Discretionary AUM
$232.7M
Clients
338
808 accounts
Employees
5
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Sep 1, 2021
- Principal office
- 4 PARK PLAZA, STE. 1010, IRVINE, CA, 92614
- Phone
- 800-557-5461
- Website
- HTTP://WWW.INVESTTALK.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $232.7M
- Discretionary AUM
- $232.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 808
- Non-discretionary accounts
- 0
- Total accounts
- 808
- AUM per client
- $688K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $53K |
| Charitable organizations | Fewer than 5 | $768K |
| High net worth individuals | 59 | $114.9M |
| Individuals (other than high net worth individuals) | 277 | $116.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — ONLINE EDUCATIONAL CLASSES
- Subscription fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 329 | 338 | increased by9 |
| Mar 1, 2026 | AUM | $184,892,109 | $232,698,506 | increased by$47,806,397 |
| Mar 1, 2026 | Accounts | 735 | 808 | increased by73 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 5 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 303 | 329 | increased by26 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $133,762,476 | $184,892,109 | increased by$51,129,633 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 656 | 735 | increased by79 |
| Jul 1, 2022 | Employees | 5 | 4 | decreased by1 |
| Apr 1, 2022 | Clients | 279 | 303 | increased by24 |
| Apr 1, 2022 | AUM | $115,450,816 | $133,762,476 | increased by$18,311,660 |
| Apr 1, 2022 | Accounts | 674 | 656 | decreased by18 |
| Oct 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “KLEIN PAVLIS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“KLEIN PAVLIS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.