Item 5 Additional Compensation .................................................................................................................................... 19 Item 6 Supervision .......................................................................................................................................................... 19 Stephan Glenn Peasley .................................................................................................................................................... 21 Item 3 Disciplinary Information ..................................................................................................................................... 22 Item 5 Additional Compensation .................................................................................................................................... 22 Item 6 Supervision .......................................................................................................................................................... 22 Jason Robert Topor ......................................................................................................................................................... 24 Item 3 Disciplinary Information ..................................................................................................................................... 25 Item 5 Additional Compensation .................................................................................................................................... 25 Item 6 Supervision .......................................................................................................................................................... 25 Andrew Thomas Ryan .................................................................................................................................................... 27 Item 3 Disciplinary Information ..................................................................................................................................... 28 4 Item 5 Additional Compensation .................................................................................................................................... 28 Item 6 Supervision .......................................................................................................................................................... 28 Luke Gordon Guerrero .................................................................................................................................................... 30 Item 3 Disciplinary Information ..................................................................................................................................... 31 Item 5 Additional Compensation .................................................................................................................................... 31 Item 6 Supervision .......................................................................................................................................................... 31 Klein Pavlis & Peasley Financial, Inc. is a state-registered investment adviser with its principal place of business located in California. Klein Pavlis & Peasley Financial, Inc. began conducting business in 1994. Listed below are the firm's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company). · Justin Klein Klein Pavlis & Peasley Financial, Inc. offers the following advisory services to our clients: PORTFOLIO MANAGMENT Our firm provides continuous portfolio management services to clients using model asset allocation portfolios. Each model portfolio

is designed to meet a particular investment goal. Through personal discussions with the client in which the client's goals and objectives are established, we initially determine whether the model portfolio is suitable to the client's circumstances. Once we confirm suitability, the portfolio is managed based on the portfolio's goal, rather than on each client's individual needs. Clients retain individual ownership of all securities. We manage these advisory accounts on a discretionary basis. Each day, client portfolio holdings are reviewed in light of the client's stated investment objectives, financial needs, and overall market performance. In addition, the reviewers analyze daily the general economic, political and market trends, which might impact customer portfolio holdings. Each position held in the account is evaluated daily, taking into account market conditions as well as other available investment alternatives. Klein, Pavlis and Peasley Financial, Inc. also provides portfolio management for assets not directly held in advisory accounts at our chosen custodian, but where we do have discretion. For those accounts, we typically leverage an order management system designed to implement tax-efficient asset location and opportunistic rebalancing strategies on behalf of the client. Specifically, we use a third-party platform, Pontera, to facilitate management of held away assets such as defined contribution plan participant accounts, with discretion. The platform allows us to avoid being considered to have custody of client funds since we do not have direct access to client log-in credentials to effect trades. These are primarily 401(k) accounts, HSA’s, and other assets we do not hold. We regularly review the available investment options in these accounts, monitor them, and rebalance and implement our strategies in the same way we do other accounts, though using different tools as necessary. Our investment recommendations are not limited to any specific product or service offered by a broker- dealer and will generally include advice regarding the following securities: · Exchange-listed securities · Securities traded over the counter · Corporate debt securities (other than commercial paper) · Certificates of deposit · Mutual fund shares · United States governmental securities · Option Contracts on Securities Because some types of investments involve certain additional degrees of risk, they will only be recommended when consistent with the client's stated investment objectives, tolerance for risk, liquidity and suitability. ESTATE PLANNING Klein Pavlis & Peasley Financial, Inc. offers Estate Planning services included as part of our ongoing investment management services to our clients that consists of education on estate planning topics and the collection of general information necessary to complete a new estate plan or review a current estate plan. For clients engaging in investment management services with our firm, there is no separate fee for estate planning services. Our firm utilizes the services of Trust & Will, a third-party digital estate planning service for clients who have the need for estate planning review, creation or updates PUBLICATION OF PERIODICALS Klein Pavlis & Peasley Financial, Inc. publishes a weekly newsletter providing general information on various financial topics including, but not limited to, estate and retirement planning, market trends, etc. The information provided does not purport to meet the objectives or needs of any individual. This newsletter is distributed free of charge to our advisory clients and is available to non-clients for a subscription fee of $19 per month or $199 for one year. There is a one month money back guarantee and the subscription can be canceled at any time. We also provide a free subscription for weekly emails covering a variety of financial topics. WRITTEN ACKNOWLEDGEMENT OF FIDUCIARY STATUS When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must: · Meet a professional standard of care when making investment recommendations (give prudent advice); · Never put our financial interests ahead of yours when making recommendations (give loyal advice); · Avoid misleading statements about conflicts of interest, fees, and investments; · Follow policies and procedures designed to ensure that we give advice that is in your best interest; · Charge no more than is reasonable for our services; and · Give you basic information about conflicts of interest. AMOUNT OF MANAGED ASSETS As of 12/2023, we were actively managing $162,519,903 of client assets on a discretionary basis and $0 on a non-discretionary assets under management.