Klein Pavlis & Peasley Financial, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$231,877,631
Clients
336
Advisors
4
of 5 employees
About
Klein Pavlis & Peasley provides discretionary investment management to individuals (including high‑net‑worth clients) and corporate entities through model asset allocation portfolios, and offers related services such as estate‑planning education and management of held‑away retirement and other accounts via a third‑party platform. The firm also produces regular periodicals and operates subscription‑based educational offerings that are available to both clients and the public, with subscriptions waived for advisory clients.
The firm implements model portfolios on a discretionary basis and conducts daily portfolio reviews informed by fundamental, technical and cyclical analysis; available strategies range from growth and concentrated equity approaches to income‑focused and stable‑income programs and may make use of options, short sales and margin where appropriate. For held‑away assets (for example, defined contribution plan accounts) the firm uses an order‑management platform to pursue tax‑efficient asset location and opportunistic rebalancing consistent with client objectives.
Noteworthy differences from many peers include the firm’s emphasis on client education and communications delivered beyond standard reporting — a public subscription newsletter and a regularly scheduled online class series are part of its client outreach — and the integration of a third‑party digital estate‑planning service into its ongoing advice. The brochure also discloses that firm personnel have outside roles (for example, one representative holds a real‑estate license that is not used for firm business and another serves as an officer of a private company) and that the firm maintains a formal referral/promoter program for client introductions.
Client services
Expertise
Occupation focus
Fee options
$0 - $249,999: 2.4% $250,000 - $499,999: 2.2% $500,000 - $749,999: 2.0% $750,000 - $999,999: 1.8% $1,000,000+: 1.6%
$199 annually or $19 monthly for newsletter subscription; $79 per month for online educational classes. Subscription fees waived for advisory clients.
Account minimum: $250,000 to $500,000 depending on the program selected
Main office
4 Park Plaza, Ste. 1010
Irvine CA 92614
Advisors at this office
4
Most active in
Arizona · California · Florida · Georgia · Illinois · Louisiana · Minnesota · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas · Utah · Virginia · Washington
Also doing business as
Investtalk Podcast · Investtalk Youtube · Klein Pavlis & Peasley Financial, Inc. · Klein Pavlis Financial Inc · Kpp Financial
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Justin K
Verified by Warmer
Series 65
Irvine, CA
Klein Pavlis & Peasley Financial, Inc.
Justin Klein is a financial advisor with Klein Pavlis & Peasley Financial, Inc. in Irvine, CA, holding a Series 65 designation and 21 years of industry experience. He has been with Klein Pavlis & Peasley since 2003. Klein Pavlis & Peasley provides discretionary portfolio management primarily to individual and high-net-worth clients, combining model-based asset allocation with estate-planning education and management of held-away accounts. The firm also offers fee-based publications and public educational programming alongside its investment services.
Andrew R
Series 66
Irvine, CA
Klein Pavlis & Peasley Financial, Inc.
Andrew Ryan is a financial advisor with Klein Pavlis & Peasley Financial, Inc. based in Irvine, CA. He holds a Series 66 designation and has seven years of industry experience. Ryan’s background includes roles at Magic Elite, Bank of America, Merrill, and KPP Financial. Outside of finance, he owns and operates a basketball coaching program focused on training youth fundamentals in Southern California. Klein Pavlis & Peasley Financial provides discretionary investment management services to individuals, including high-net-worth clients, and corporate entities. The firm emphasizes client education through public newsletters and online classes and integrates a third-party digital estate-planning service into its advisory process.
Jason T
Series 65
Irvine, CA
Klein Pavlis & Peasley Financial, Inc.
Jason Topor is a financial advisor at Klein Pavlis & Peasley Financial, Inc. He holds a Series 65 designation and has 21 years of industry experience, all of which has been with his current firm since 2005. The firm provides discretionary portfolio management primarily for individual and high-net-worth clients, combining model-based asset allocation with estate-planning education and management of held-away accounts. Klein Pavlis & Peasley also offers a weekly periodical and public educational programming, distinguishing itself by integrating investment management with fee-based publications and educational services.
Luke G
Series 65
Irvine, CA
Klein Pavlis & Peasley Financial, Inc.
Luke Guerrero is a financial advisor with Klein Pavlis & Peasley Financial, Inc. based in Irvine, CA, holding a Series 65 designation and three years of industry experience. Prior to joining Klein Pavlis & Peasley Financial in 2023, he worked for seven years at Dimensional Fund Advisors. He also serves as Vice President and Director of the Charles C. Volberg Company, a family-owned real estate holding company. Klein Pavlis & Peasley Financial provides discretionary investment management to individuals, including high-net-worth clients, and corporate entities through model asset allocation portfolios. The firm emphasizes client education through subscription-based offerings and integrates estate-planning services alongside a range of investment strategies tailored to client objectives.
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