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Klein Pavlis & Peasley Financial, Inc.

Klein Pavlis & Peasley Financial, Inc.. CRD 112414

K

CRD: 112414

Klein Pavlis & Peasley Financial, Inc.

Irvine, CA, 92614
8005575461
kppfinancial.com
$232.7M Total AUM
$232.7M Disc. AUM
-- 3Y CAGR
5 Employees
338 ADV. Clients
23 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company · Fidelity/NFS · Merrill Lynch
Clients
Retail and Institutional
Platforms
Delta matrix
Established Date
07-15-2002
Office Locations
1

Office Locations

4 Park Plaza, Ste. 1010 Irvine CA

About Klein Pavlis & Peasley Financial, Inc.

KPP Financial (Klein Pavlis & Peasley Financial) is a boutique Irvine, CA advisory firm providing comprehensive financial planning and managed investment programs, including risk profiling and portfolio reviews via virtual consultations. The firm emphasizes fee transparency and “parallel investing,” investing alongside clients with direct access to leadership. Portfolios are ETF- and fixed-income–heavy and include mutual funds; distribution reach is amplified by the InvestTalk Podcast (50M+ downloads).

Team overview

31 AVG AGE
$77.6M AVG AUM / ADVISOR
$688.5K AVG AUM / CLIENT
13 yrs AVG TENURE
5 Employees
3 Advisory Reps
3 RIA Reps
23yrs Firm Age

Insights

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Asset Classes

Glacier glacier Glacier North ridge Ember capital Momentum Focus

Client Personas

Pioneer Prime legacy Value vital

CRM

Legacy

Custodian

Atlas Element pioneer Insight horizon Capital Wave Harbor Crest focus North glacier

Investment Themes

Focus Fusion Beacon Harbor momentum Zenith insight North ember

Investment Vehicles

Crest beacon Bridge Frontier pathway

Platform

Vital Signal Focus beacon

Services

Foundation glacier Prime North Vertex glacier Harbor Matrix Focus element Element glacier

Technology

Frontier capital

Owner & Executives

J

JUSTIN ALAN KLEIN

Chief Executive Officer, Consultant, Secretary, TREASURER

CRD
#4900253
Ownership
75% or more
(622) 514-2130
quantum.frontier@capitalcapital.com
in linkedin.com/in/unison-vertex
J

JASON ROBERT TOPOR

Chief Compliance Officer

CRD
#4897470
Ownership
Less than 5%
(389) 334-2040
zenith.focus@optimacapital.com
in linkedin.com/in/horizon-value

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Contacts

L

Luke Gordon Guerrero

Portfolio Manager

CRD
#7690169
(571) 564-1834
focus.summit@harborcapital.com
in linkedin.com/in/atlas-meridian
A

Andrew Thomas Ryan

Investment Advisor

CRD
#6915849
(749) 320-3220
oak.atlas@vertexcapital.com
in linkedin.com/in/atlas-focus

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
06-08-2022
09-22-2023
10-16-2024
09-25-2025
05-06-2026
Category Assets AVG. Account size
Discretionary $232,698,506 $287,993
Non-Discretionary $0 --
Total $232,698,506 $287,993

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Separately Managed Accounts

Total SMA Asset: $232,698,506

$232.7M Total SMA
Equity - Exchange:
17.1%
Corporate - Investment Grade:
24.5%
Public Funds:
5.9%
Corporate - Non-Investment Grade:
16.0%
Cash:
26.2%
U.S. Government/Agency:
10.3%
Asset class Assets Assets %
Equity - Exchange $1,212,411,981 17.1%
Corporate - Investment Grade $1,737,081,493 24.5%
Public Funds $418,317,584 5.9%
Corporate - Non-Investment Grade $1,134,420,567 16.0%
Cash $1,857,613,678 26.2%
U.S. Government/Agency $730,283,239 10.3%
Total $7,090,128,542 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
MATRIX EAGLE SUMMIT QUANTUM RADIAL XZ33J04FR DIXNI 6.99% $90,262,904
VALUE FOUNDATION OAK ATLAS ZVTTPM950 HQB 8.17% $71,100,274
ELEMENT ALPHA MOMENTUM MOMENTUM CREST GG2Q2TGES GXI 2.45% $57,863,962
VERTEX SIGNAL VITAL RADIAL EMBER O5X5HW7BF IMDY 2.17% $106,989,823
MOMENTUM WAVE VECTOR HARBOR 5BJYZHQ4X GVYYM 4.44% $113,572,448
ZENITH OPTIMA EMBER ZENITH ATLAS WUP66CGYI CKI 11.70% $108,667,626
HARBOR RADIAL NORTH FOCUS ICROY263Z YJAGF 10.58% $101,235,980
MATRIX GLACIER OPTIMA ZENITH TIMBER V1FTV9P02 YIF 6.65% $4,131,441

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