Klein Pavlis & Peasley Financial, Inc.

Klein Pavlis & Peasley provides discretionary portfolio management primarily to individual and high‑net‑worth clients, offering model-based asset allocation services alongside estate‑planning education and management of held‑away retirement and other accounts. The firm also produces a weekly periodical and operates public educational programming, with paid subscriptions available to non‑clients while those fees are waived for advisory clients.

The firm manages accounts using model portfolios and daily oversight by an investment committee, applying a mix of fundamental, technical and cyclical analysis and employing strategies that include long‑term holdings, shorter‑term trading, option writing, short sales and margin as appropriate to client objectives. For assets not custodied with the firm’s clearing broker, it uses a third‑party platform to exercise trading discretion, implement tax‑efficient asset location and perform opportunistic rebalancing.

What distinguishes the firm from many peers is the combination of investment management with fee‑based publications and public education offerings, and its explicit handling of held‑away accounts via third‑party tools as part of regular portfolio management. The brochure also discloses non‑investment affiliations and activities by firm personnel (including a real estate license held by a principal and an advisory serving in an officer role at a separate company), plus use of third‑party digital estate‑planning services and formal promoter/referral arrangements, features that are less common at similarly sized supported firms.