Klein Pavlis & Peasley Financial, Inc.

Klein Pavlis & Peasley Financial, Inc. is a state-registered investment adviser established in 1994. The firm offers continuous portfolio management services using model asset allocation portfolios tailored to clients' investment goals. They manage advisory accounts on a discretionary basis, reviewing holdings daily and analyzing economic trends. The firm provides estate planning services as part of investment management, with no separate fee for clients. They publish a weekly newsletter and offer educational classes for a fee. Klein Pavlis & Peasley Financial, Inc. acts as a fiduciary for retirement accounts, ensuring advice is in clients' best interests. As of 12/2024, the firm managed $184,892,109 of client assets. Fees for portfolio management services are charged as a percentage of assets under management, varying based on the program selected. The firm does not charge performance-based fees and provides services to individuals, high net worth individuals, and businesses. Investment strategies include long-term purchases, short-term purchases, trading, short sales, margin transactions, and option writing. The firm does not vote proxies on behalf of clients and does not engage in soft dollar arrangements. Clients maintain exclusive responsibility for voting securities. Klein Pavlis & Peasley Financial, Inc. has a policy of not engaging solicitors but may retain third parties for investment management services. The firm does not require prepayment of fees and does not have custody of client assets beyond fee deduction. The investment advisers at the firm have no reportable disciplinary history.