Klein Pavlis & Peasley Financial, Inc.
Irvine, California
4.2
8 Reviews
Klein Pavlis & Peasley Financial, Inc. is a small investment advisory firm based out of Irvine, CA, with one office. With a team of four dedicated professionals, three of whom specialize in investment advisory services, they provide personalized financial guidance to their clients. The firm manages an average of approximately $48,200,000 in assets per investment advisor, which falls within the industry average. Klein Pavlis & Peasley Financial, Inc. offers a variety of compensation structures to suit the needs of their clients, including a percentage of assets under management and subscription fees. The majority of their assets ...
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Assets Under Mgmt

$144.59M

Investment Professionals

3

Locations

0

% 401K & Individual

81%

% Discretionary

100%
Compensation Structure
A percentage of assets under your management
Subscription Fees
Other
Services Provided Section
Portfolio management for individuals and/or small businesses
Publication of periodicals or newsletters
Educational seminars/workshops
Disclosures
SEC or CFTC violation of regulation or statutes
SEC or CFTC entered an order against you in connection to investment related activities
SEC or CFTC imposed civil money penalty or cease and desist from an activity
Found to have been involved in a violation of investment regulations or statutes by Federal regulatory agency
Orders brought against in connection to investment related activities (10yrs)
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