K
Klein financial Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$14,000,000
Total clients
14
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
14
Average account size
$1,000,000
About
The firm serves individual clients and also provides advisory services to pension plans, businesses, trusts, estates, banks, and charitable organizations. It offers financial planning, portfolio management, and implementation of investment and insurance recommendations, billing on an asset-based, hourly, or flat-fee basis.
The firm’s investment process relies on fundamental security analysis with a generally long-term orientation while allowing for shorter-term trades when appropriate; managed accounts are handled on a discretionary basis with daily monitoring and quarterly portfolio reports. Clients receive statements directly from custodians and are encouraged to compare those statements with the firm’s performance reports.
The firm is licensed to sell life, health, disability, long-term care, and property/casualty insurance and may earn commissions when clients purchase insurance products it recommends, including placement through carriers such as Ohio National—an implementation-related conflict the brochure discloses. It also provides pension-plan consulting and works directly with pension plans, a service offering that is less common among similar independent advisers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
General retirement planning
Divorce financial planning
College savings (529s, UTMA, etc.)
General tax planning
Debt management
Fee options
Flat fee of $200 to $5,000 per year
Commissions earned on insurance products recommended and sold by John H. Klein
Up to $200 per hour
Minimum fee: Flat fee of $200 to $5,000 per year Fee-only: Hourly fee up to $200 per hour
Main office location
Klein financial Advisors
Rancho Mission Viejo CA, United States
Number of offices
1
Most active in
Klein financial Advisors has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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