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KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

IRVINE, CA · CRD 112414 · IAPD ↗ · 800-557-5461

$232.7MRegulatory AUM
3Advisory reps
5Employees
0Clients
n/aPlanning clients
0Private funds
16States
5Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
March 2026 — KLEIN PAVLIS & PEASLEY FINANCIAL, INC. reported RAUM up 26% ($184.9M -> $232.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
March 2025 — KLEIN PAVLIS & PEASLEY FINANCIAL, INC. notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
May 2024 — KLEIN PAVLIS & PEASLEY FINANCIAL, INC. notice-filed in FL, GA, SC, UT, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.