Klein Pavlis & Peasley Financial, Inc. (Dana Point)

Name: Klein Pavlis & Peasley Financial, Inc.
Address: 34232 Pacific Coast Highway, Dana Point, CA, 92629 2821
Telephone: 800-557-5461

Klein Pavlis & Peasley Financial, Inc. is an adviser based in Dana Point. It manages $80.57 million of regulatory assets for 654 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of California and Texas.

Klein Pavlis & Peasley Financial provides portfolio management for individuals and small businesses and publication of newsletters. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Klein Pavlis & Peasley Financial: assets under management

The assets under management (AUM) of Klein Pavlis & Peasley Financial, Inc. is $80.57 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 92% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $80.57 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $123.19 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Klein Pavlis & Peasley Financial, Inc. for their services and products based on a percentage of assets under management and subscription fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Klein Pavlis & Peasley Financial, Inc.

Stephan Glenn Peasley has been acting as President since 1 Aug 2001. Gerald Howard Klein joined the executive team most recently as the Board Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gerald Howard Klein	Vice president	1 Nov 1993	Other	602023
Eva Alma Klein	Board memeber	1 Nov 1993	50% - 75%	4405880
Stephan Glenn Peasley	President	1 Aug 2001	50% - 75%	4450415
Lettie Hada Pivan	Chief compliance officer	1 Oct 2004	Other	2472015
Justin Alan Klein	Investment advisor rep	1 May 2008	Other	4900253
Gerald Howard Klein	Board member	1 Jun 2008	25% - 50%	602023

Based in Dana Point

The principal office where Klein Pavlis & Peasley Financial, Inc. performs its advisory services is located at 34232 Pacific Coast Highway, Dana Point, CA 92629 2821, which is also the mailing address of the firm. An additional office of the firm is in Monarch Beach, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-557-5461 or by fax 949-443-2039. The normal business hours are 6:30am-2:30pm on Monday - Friday. You can find more information about the New York firm at www.investtalk.com.