Klein Pavlis & Peasley Financial, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Irvine, CA. Its latest Form ADV filing, dated February 17, 2026, reports $233M in regulatory assets under management, 5 employees, and 808 accounts.
Assets Under Management
$233M
Employees
5
Offices
--
Total Clients
338
Primary office
IRVINE, CA
4 PARK PLAZA, STE. 1010, IRVINE, CA, United States
Portfolio management for individuals and small businesses
Publication of periodicals or newsletters
Fee models offered
3 types reported
Asset based fees
Other fee arrangements
Subscription fees
Sources checked May 13, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 82.0% of total clients.
Top client categories% of clientsClients
1
Individuals
82.0%
277
2
HNWI
17.5%
59
3
Charitable
0.3%
1
4
Corporations
0.3%
1
Categories with <5 clients
Charitable Organizations<5 clients
Corporations or other businesses not listed above<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$233Mas of February 17, 2026
Discretionary100.0%
$233M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$233M
Total Accounts808
10Y AUM Change+$117M (+101.6%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees5
Clients per Employee68:1
10Y Employee Change0 (0.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.