Klein Pavlis & Peasley Financial, Inc.

RIASEC Registered
Total AUM
$233M
Discretionary
$233M
100% of AUM
Avg account
$288K
Accounts
808
Employees
5
Advisory reps
4

Firm details

Headquarters
Irvine, California
CRD number
112414
Registered since
September 1, 2021
Website
kppfinancial.com
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Subscription Fees, Other
Client types
  • Individuals50.25%
  • HNWI49.4%
  • Charitable Organizations0.33%
  • Corporations / Businesses0.02%
Services
Portfolio Management for IndividualsPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Klein Pavlis & Peasley Financial, Inc. is an independent, corporation-structured registered investment adviser that became SEC-registered in 2021. The firm serves both individual and family clients as well as institutional accounts. Its advisory model includes discretionary portfolio management for individuals and small businesses, along with publication of investment periodicals and investor education through seminars and workshops. Fees are charged via a combination of percentage-of-AUM, subscription fees and other arrangements. The firm does not identify as an active ESG investor and reports an individual ownership structure.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 70%, Investment Grade Corp Bonds 11%, Public Funds/Mutual Funds 10%, Non-Investment Grade Corp Bonds 7%, US Government Bonds 1%, Cash & Cash Equivalents 1%70%
  • Exchange Traded Equities70%
  • Investment Grade Corp Bonds11%
  • Public Funds/Mutual Funds10%
  • Non-Investment Grade Corp Bonds7%
  • US Government Bonds1%

Owners & executives

2 of 2
  • Jason Topor

    Jason Topor

    Chief Investment Officer & Chief Compliance OfficerCRD 4897470

  • Justin Klein

    Justin Klein

    CEOCRD 4900253

Contacts

2 of 2
  • Andrew Ryan

    Andrew Ryan

    Investment AdvisorCRD 6915849

  • Luke Guerrero

    Luke Guerrero

    Portfolio ManagerCRD 7690169

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 9

Active vs passive

$14.7M in ETFs

Passive

97%

$14.2M

Active

0%

$484K

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES 0-3 MONTH TREASURY BOND ETF (SGOV)BlackRockPassiveUltrashort Bond$11.2M111,43776.49%
Unlock additional holdings →

Location

Primary office

Irvine, CA

Orange

Location

Irvine, CA

Headquartered in Irvine, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Orange
Address
4 Park Plz
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth