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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.