Data / Investment advisers / California / Klein Pavlis & Peasley Financial, Inc.
Klein Pavlis & Peasley Financial, Inc., Irvine, CA: $233 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Klein Pavlis & Peasley Financial, Inc. is an SEC registered investment adviser with its main office in Irvine, California and reports $233 million in regulatory assets under management in its Form ADV filed May 6, 2026. Its clients include individuals, high net worth individuals and charitable organizations. It is paid through a percentage of assets under management, subscription fees and other fees.
The request: Watch Klein Pavlis & Peasley Financial, Inc. (CRD number 112414): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 112414
- SEC file number
- 801-121974
- SEC status
- Approved, effective September 1, 2021
- Main office
- 4 Park Plaza, Ste. 1010, Irvine, CA 92614
- Phone
- (800) 557-5461
- Regulatory AUM
- $232,698,506 in the Form ADV filed May 6, 2026
- Discretionary AUM
- $232,698,506
- Accounts
- 808
- Employees
- 5, of which 3 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, subscription fees, other fees
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions
- Latest Form ADV filing
- May 6, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 277 | $116.9 million |
| High net worth individuals | 59 | $114.9 million |
| Charitable organizations | 1 | $767,811 |
| Corporations or other businesses | 1 | $53,064 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $232.7 million | February 17, 2026 |
| December 1, 2025 | $184.9 million | September 25, 2025 |
Other advisers in Irvine
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Kanani Advisory Group Inc. | Irvine | $288.2 million | Not listed | adviserinfo.sec.gov |
| Prosperity Wealth Planning LLC | Irvine | $269.2 million | Not listed | adviserinfo.sec.gov |
| Harmony Point Wealth Advisors, Inc. | Irvine | $263.2 million | Not listed | adviserinfo.sec.gov |
| 3spoke Management, LLC | Irvine | $254.3 million | 11 | adviserinfo.sec.gov |
| Advanced Financial Strategies Inc | Irvine | $251.7 million | Not listed | adviserinfo.sec.gov |
| Capital CS Group, LLC | Irvine | $227.3 million | Not listed | adviserinfo.sec.gov |
| Sun Group Wealth Partners LLC | Irvine | $224.5 million | Not listed | adviserinfo.sec.gov |
| Wealth Teams Alliance | Irvine | $223.9 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Irvine, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Klein Pavlis & Peasley Financial, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.