The KLEIN PAVLIS & PEASLEY FINANCIAL is a privately held investment adviser that advises $184.89mn in regulatory assets under management held in 0 SEC fund types across 0 investment strategies. KLEIN PAVLIS & PEASLEY FINANCIAL is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 118.44% over the last 5-years.
The Group has been registered with the SEC for 4.42 years and is comprised of 1 filing and 0 relying advisers. They operate out of 1 office location with their Headquarters at 4 PARK PLAZA, STE. 1010, IRVINE, CA. The Group has been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 5 employees comprised of 3 investment and 2 non-investment staff. The total number of Employees remained the same over the last few years.
Their $184.89mn in assets advised are owned by 0 private funds, 0 public funds and BDCs and 1 other account. Assets of Individuals clients own $98.37mn or 53.21% of Total Assets and High Net Worth Individuals own $86.34mn or 46.7% of Total Assets.
The Group's top investment strategies include , representing of total assets, respectively.
They advise 3 types of clients, top clients are Individuals and High Net Worth Individuals.
The Group uses 0 Fund Administrators, 0 Fund Auditors, 0 Prime Brokers, 0 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses management fees.
KLEIN PAVLIS & PEASLEY FINANCIAL names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a MEDIUM-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In KLEIN PAVLIS & PEASLEY FINANCIAL's case, they have 4 business conditions that require high process maturity and 1 Watch Factors.