This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$121MItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$119M

Private client RAUM

$119MderivedItem 5.D individuals plus high net worth individuals

Private client share

98%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

2

Advisory employees

1

Offices

1Schedule D 1.F, beyond the principal office

Accounts

286

Individual clients

62

High net worth clients

41

SEC number

801-121060

CRD

128910

Filings on the tape

1

First filed

Mar 31, 2021

Latest filed

Mar 31, 2021

Organised

Corporation, California

• Occurred

  Mar 31, 2021
  First Form ADV filing

  Klein Financial Advisors, Inc. filed its initial SEC registration (Form ADV)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b9435425-9aa4-cbc1-801b-0012ca716ea9

First observed

Mar 31, 2021

Last observed

Mar 31, 2021 66 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.