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KLEIN PAVLIS & PEASLEY FINANCIAL, INC. — 13F Holdings & Portfolio

CIK 1907480 · latest 13F-HR filed 2026-10-13

Backtest portfolio

KLEIN PAVLIS & PEASLEY FINANCIAL, INC. manages $197.5M in 13F-reported U.S. long-equity assets across 97 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SGOV (5.68%), AEM (5.58%), PM (4.48%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 19 new positions and exited 11; 34 existing positions rose in reported value and 27 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$197.5M

Long-equity book

Holdings
97

Distinct positions

Period
2026-09-30

Filed 2026-10-13

Q/Q Activity
+19 / −11 / ↑34 / ↓27

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
SGOV5.7% · +61%AEM5.6% · +4%PM4.5% · +3%WPM4.0% · +4%SCCO3.6% · +10%CCJ3.2% · +10%SCHW3.0% · +1%JCI3.0% · +2%MDT2.4% · +7%FMX2.4% · +5%IBN2.2% · +14%HIG2.0% · +6%ROK2.0% · +20%EMBJ2.0% · -1%LDOS1.9% · +72%B1.9% · +10%CSCO1.8% · -16%QCOM1.6% · +35%ABT1.6% · +5%UNM1.4% · +5%SONY1.4% · +8%DAL1.3% · newAGI1.3% · -32%CINF1.3% · +28%BBVA1.2% · +1%TOST1.2% · +1%UL1.2% · -4%OPRA1.1% · -14%SO1.1% · +6%BAX1.1% · newFNV1.1% · +4%MAS1.1% · +7%EQR1.1% · newCSX1.0% · +42%MCK1.0% · +11%HUBB1.0% · +1%IMO0.9% · +62%ZM0.9% · -1%DGX0.8% · +5%CMG0.8% · +6%AME0.8% · +15%FSM0.8% · +7%JBL0.7% · +5%RJF0.7% · +8%AZN0.7% · +20%FCX0.7% · +10%AEP0.7% · +7%SYF0.7% · +12%BWA0.7% · newAMX0.7% · +7%EMR0.6% · +0%AMAT0.6% · -21%BKE0.6% · +11%TER0.6% · -84%HSY0.6% · +9%GTX0.5% · newCPA0.5% · +9%PHM0.5% · +6%EOG0.5% · -37%GPC0.5% · +1%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 37.3%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated May 6, 2026.

Assets Under Management
$232.7M
Discretionary
$232.7M
Employees
5
Accounts
808
Address
4 PARK PLAZA, STE. 1010
IRVINE, CA 92614
Phone
(800) 557-5461
Website
This firm reports 5 disclosure items on its registration.
Name Title / Status Ownership Type
KLEIN, JUSTIN, ALAN ControlCEO & SECRETARY/TREASURER
since Nov 2012
75% or moreIndividual
TOPOR, JASON, ROBERT ControlCHIEF COMPLIANCE OFFICER
since Apr 2019
Less than 5%Individual
Ownership & leadership changes · 2 filings with changes since Mar 30, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 15, 2023 filing
  • No longer listedPEASLEY, STEPHAN, GLENN · PRESIDENT · 75% or more · control person · listed since Aug 2001
  • ChangedKLEIN, JUSTIN, ALAN · ownership 10–25% → 75% or more
Jun 30, 2021 filing
  • No longer listedKLEIN, GERALD, HOWARD · BOARD MEMBER · 25–50% · control person · listed since Jun 2008
  • No longer listedPIVAN, LETTIE, HADA · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2004
  • AddedTOPOR, JASON, ROBERT · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedKLEIN, JUSTIN, ALAN · title INVESTMENT ADVISOR REP → CEO & SECRETARY/TREASURER; now a control person
  • ChangedPEASLEY, STEPHAN, GLENN · ownership 25–50% → 75% or more
Mar 30, 2012 filing (earliest on record)
  • ListedKLEIN, GERALD, HOWARD · BOARD MEMBER · 25–50% · control person
  • ListedKLEIN, JUSTIN, ALAN · INVESTMENT ADVISOR REP · 10–25%
  • ListedPEASLEY, STEPHAN, GLENN · PRESIDENT · 25–50% · control person
  • ListedPIVAN, LETTIE, HADA · CHIEF COMPLIANCE OFFICER · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

KLEIN PAVLIS & PEASLEY FINANCIAL, INC. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES TR SGOV 46436E718 $11.2M 5.68% 111,437 SH
2 AGNICO EAGLE MINES LTD AEM 008474108 $11.0M 5.58% 60,112 SH
3 PHILIP MORRIS INTL INC PM 718172109 $8.8M 4.48% 46,325 SH
4 WHEATON PRECIOUS METALS CORP WPM 962879102 $7.9M 4.01% 59,245 SH
5 SOUTHERN COPPER CORP SCCO 84265V105 $7.1M 3.57% 34,828 SH
6 CAMECO CORP CCJ 13321L108 $6.2M 3.16% 71,956 SH
7 CHARLES SCHWAB CORP (THE) SCHW 808513105 $6.0M 3.04% 61,393 SH
8 JOHNSON CONTROLS INTERNATION JCI G51502105 $6.0M 3.02% 40,116 SH
9 MEDTRONIC PLC MDT G5960L103 $4.8M 2.41% 55,252 SH
10 FOMENTO ECONOMICO MEXICANO S FMX 344419106 $4.7M 2.37% 39,438 SH
11 ICICI BK LTD IBN 45104G104 $4.3M 2.16% 155,050 SH
12 HARTFORD INSURANCE GROUP INC HIG 416515104 $4.0M 2.00% 32,307 SH
13 ROCKWELL AUTOMATION INC ROK 773903109 $3.9M 2.00% 9,059 SH
14 EMBRAER S.A. EMBJ 29082A107 $3.9M 1.99% 52,100 SH
15 LEIDOS HOLDINGS INC LDOS 525327102 $3.8M 1.91% 30,908 SH
16 BARRICK MNG CORP B 06849F108 $3.7M 1.89% 91,965 SH
17 CISCO SYS INC CSCO 17275R102 $3.6M 1.85% 33,905 SH
18 QUALCOMM INC QCOM 747525103 $3.1M 1.59% 17,085 SH
19 ABBOTT LABORATORIES ABT 002824100 $3.1M 1.56% 31,125 SH
20 UNUM GROUP UNM 91529Y106 $2.8M 1.40% 31,500 SH
21 SONY GROUP CORP SONY 835699307 $2.7M 1.37% 114,937 SH
22 DELTA AIR LINES INC DAL 247361702 $2.6M 1.34% 31,735 SH
23 ALAMOS GOLD INC AGI 011532108 $2.5M 1.27% 77,233 SH
24 CINCINNATI FINL CORP CINF 172062101 $2.5M 1.26% 15,660 SH
25 BANCO BILBAO VIZCAYA ARGENTA BBVA 05946K101 $2.4M 1.24% 87,784 SH
26 TOAST INC TOST 888787108 $2.4M 1.19% 81,119 SH
27 UNILEVER PLC UL 904767803 $2.3M 1.16% 37,747 SH
28 OPERA LTD OPRA 68373M107 $2.3M 1.14% 128,338 SH
29 SOUTHERN CO SO 842587107 $2.3M 1.14% 27,174 SH
30 BAXTER INTL INC BAX 071813109 $2.2M 1.13% 92,834 SH
31 FRANCO NEV CORP FNV 351858105 $2.2M 1.13% 9,353 SH
32 MASCO CORP MAS 574599106 $2.1M 1.09% 31,835 SH
33 VIVMARK RESIDENTIAL VMRK 29476L107 $2.1M 1.07% 34,911 SH
34 CSX CORP CSX 126408103 $2.1M 1.05% 44,400 SH
35 MCKESSON CORP MCK 58155Q103 $2.1M 1.04% 2,417 SH
36 HUBBELL INC HUBB 443510607 $2.0M 1.00% 4,363 SH
37 IMPERIAL OIL LTD IMO 453038408 $1.9M 0.94% 15,114 SH
38 ZOOM COMMUNICATIONS INC ZM 98980L101 $1.8M 0.89% 19,387 SH
39 QUEST DIAGNOSTICS INC DGX 74834L100 $1.7M 0.84% 7,134 SH
40 CHIPOTLE MEXICAN GRILL INC CMG 169656105 $1.6M 0.82% 50,888 SH
41 AMETEK INC AME 031100100 $1.6M 0.79% 6,308 SH
42 FORTUNA MNG CORP FSM 349942102 $1.5M 0.75% 132,274 SH
43 JABIL INC JBL 466313103 $1.5M 0.74% 5,124 SH
44 RAYMOND JAMES FINL INC RJF 754730109 $1.5M 0.74% 9,270 SH
45 ASTRAZENECA PLC AZN G0593M107 $1.5M 0.74% 8,992 SH
46 FREEPORT MCMORAN INC FCX 35671D857 $1.4M 0.73% 20,544 SH
47 AMERICAN ELEC PWR CO INC AEP 025537101 $1.4M 0.71% 11,742 SH
48 SYNCHRONY FINANCIAL SYF 87165B103 $1.4M 0.69% 19,179 SH
49 BORGWARNER INC BWA 099724106 $1.3M 0.67% 22,012 SH
50 AMERICA MOVIL SAB DE CV AMX 02390A101 $1.3M 0.66% 61,357 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-13 $197.5M 97 0001907480-26-000004
2026-06-30 2026-07-23 $192.1M 89 0001907480-26-000003
2026-03-31 2026-04-23 $180.9M 93 0001907480-26-000002
2025-12-31 2026-01-14 $169.7M 92 0001907480-26-000001
Filer Information
Address
4 PARK PLAZA
SUITE 1010
IRVINE, CA 92614
Phone
(800) 557-5461
Filing Manager
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
IRVINE, CA
Signatory
Jason Topor
CCO