Fee-only adviser · Irvine, CA
Klein Pavlis & Peasley Financial, Inc.
Klein Pavlis & Peasley Financial, Inc. is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Irvine, California. On its latest Form ADV, filed May 6, 2026, it reports $233M in regulatory assets under management, 336 individual clients and 3 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 112414 · SEC file 801-121974 |
| Office | 4 Park Plaza, Ste. 1010 Irvine, CA 92614 |
| Phone | (800) 557-5461 |
| Website | www.kppfinancial.com |
| Regulatory assets under management | $233M |
| Individual clients | 277 non-high-net-worth, 59 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets, Subscription, Other |
| Services | Portfolio management, Educational seminars |
| Employees | 5 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | May 6, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
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