KP
Klein Pavlis & Peasley Financial, Inc. 13F Filings & Institutional Holdings (Q3 2026)
Klein Pavlis & Peasley Financial, Inc.CIK: 0001907480
Diversified strategyMomentum followerQuality / disciplined sizing
Total reported value
$197.5M
Reporting period: 2026-09-30 · Number of holdings: 97
KLEIN PAVLIS & PEASLEY FINANCIAL, INC. disclosed 97 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $197.5M and a quarterly turnover rate of 35.4%.
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Personality snowflake
- Concentration
- 8.9
- Portfolio Stability
- 35.43
- Momentum
- 100
- Sector conviction
- 40.87
- Diversification
- 100
- Sizing Uniformity
- 89.18
Klein Pavlis & Peasley Financial, Inc.'s disclosed holdings carry a Herfindahl concentration index of 0.022 — mathematically equivalent to about 45 equally-sized positions, well below its 97 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 1.08), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim TER
-83.5% -$7.2M
Sold out RBA
Add SGOV
+61.3% $4.3M
Sold out COP
New buy DAL
Sold out AVB
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | SGOV | Ishares 0-3 Month Treasury B | ETF-Gov Bonds | 5.68% | +2.06% | +61.28% | |
| 2 | AEM | Agnico Eagle Mines LTD | Stock-Materials | 5.58% | +0.92% | +4.14% | |
| 3 | PM | Philip Morris International | Stock-Consumer Staples | 4.48% | +0.26% | +3.39% | |
| 4 | WPM | Wheaton Precious Metals CORP | Stock-Materials | 4.01% | +0.67% | +3.63% | |
| 5 | SCCO | Southern Copper CORP | Stock-Materials | 3.57% | +0.69% | +9.80% | |
| 6 | CCJ | Cameco CORP | Stock-Energy | 3.16% | -0.32% | +9.78% | |
| 7 | SCHW | Schwab (charles) CORP | Stock-Financials | 3.04% | +0.12% | +1.02% | |
| 8 | JNJ | Johnson & Johnson | Stock-Healthcare | 3.02% | +0.02% | +1.81% | |
| 9 | MDT | Medtronic plc | Stock-Healthcare | 2.41% | +0.30% | +6.71% | |
| 10 | FMX | Fomento Economico Mex-sp Adr | Stock-Other | 2.37% | -0.13% | +5.22% | |
| 11 | IBN | Icici Bank Ltd-spon Adr | Stock-Financials | 2.16% | +0.10% | +13.96% | |
| 12 | HIG | Hartford Insurance Group Inc | Stock-Financials | 2.00% | -0.09% | +6.47% | |
| 13 | ROK | Rockwell Automation Inc | Stock-Industrials | 2.00% | +0.05% | +19.81% | |
| 14 | EMBJ | Embraer Sa-spon Adr | Stock-Industrials | 1.99% | +0.25% | -0.57% | |
| 15 | LDOS | Leidos Holdings Inc | Stock-Tech | 1.91% | +0.95% | +71.69% | |
| 16 | B | Barrick Mining CORP | Stock-Materials | 1.89% | +0.30% | +10.25% | |
| 17 | CSCO | Cisco Systems Inc | Stock-Tech | 1.85% | -0.62% | -15.98% | |
| 18 | QCOM | Qualcomm Inc | Stock-Tech | 1.59% | +0.37% | +34.56% | |
| 19 | ABT | Abbott Laboratories | Stock-Healthcare | 1.56% | +0.16% | +5.15% | |
| 20 | UNM | Unum Group | Stock-Financials | 1.40% | +0.01% | +5.35% | |
| 21 | SONY | Sony Group CORP - Sp Adr | Stock-Tech | 1.37% | +0.26% | +7.68% | |
| 22 | DAL | Delta Air Lines Inc | Stock-Industrials | 1.34% | +1.34% | NEW | |
| 23 | AGI | Alamos Gold Inc-class A | Stock-Materials | 1.27% | -0.52% | -31.99% | |
| 24 | CINF | Cincinnati Financial CORP | Stock-Financials | 1.26% | +0.09% | +28.52% | |
| 25 | BBVA | Banco Bilbao Vizcaya-sp Adr | Stock-Financials | 1.24% | +0.10% | +0.67% | |
| 26 | TOST | Toast Inc-class A | Stock-Tech | 1.19% | +0.03% | +1.14% | |
| 27 | UL | Unilever Plc-sponsored Adr | Stock-Consumer Staples | 1.16% | -0.07% | -4.05% | |
| 28 | OPRA | Opera Ltd-adr | Stock-Other | 1.14% | -0.39% | -13.56% | |
| 29 | SO | Southern Co/the | Stock-Utilities | 1.14% | -0.13% | +6.25% | |
| 30 | BAX | Baxter International Inc | Stock-Healthcare | 1.13% | +1.13% | NEW | |
| 31 | FNV | Franco-nevada CORP | Stock-Materials | 1.13% | +0.15% | +3.45% | |
| 32 | MAS | Masco CORP | Stock-Industrials | 1.09% | -0.17% | +7.34% | |
| 33 | EQR | Equity Residential | Stock-Real Estate | 1.07% | +1.07% | NEW | |
| 34 | CSX | Csx CORP | Stock-Industrials | 1.05% | +0.28% | +42.31% | |
| 35 | MCK | Mckesson CORP | Stock-Healthcare | 1.04% | +0.18% | +11.08% | |
| 36 | HUBB | Hubbell Inc | Stock-Industrials | 1.00% | -0.17% | +1.28% | |
| 37 | IMO | Imperial Oil LTD | Stock-Energy | 0.94% | +0.40% | +61.92% | |
| 38 | ZM | Zoom Communications Inc | Stock-Tech | 0.89% | +0.01% | -1.11% | |
| 39 | DGX | Quest Diagnostics Inc | Stock-Healthcare | 0.84% | +0.09% | +4.80% | |
| 40 | CMG | Chipotle Mexican Grill Inc | Stock-Consumer Disc | 0.82% | -0.03% | +6.24% | |
| 41 | AME | Ametek Inc | Stock-Industrials | 0.79% | +0.10% | +14.63% | |
| 42 | FSM | Fortuna Mining CORP | Stock-Other | 0.75% | +0.20% | +6.77% | |
| 43 | JBL | Jabil Inc | Stock-Tech | 0.74% | -0.24% | +5.26% | |
| 44 | RJF | Raymond James Financial Inc | Stock-Financials | 0.74% | +0.06% | +8.51% | |
| 45 | AZN | AstraZeneca PLC | Stock-Healthcare | 0.74% | — | +20.15% | |
| 46 | FCX | Freeport-mcmoran Inc | Stock-Materials | 0.73% | +0.12% | +10.20% | |
| 47 | AEP | American Electric Power | Stock-Utilities | 0.71% | -0.07% | +7.13% | |
| 48 | SYF | Synchrony Financial | Stock-Financials | 0.69% | +0.01% | +11.68% | |
| 49 | BWA | Borgwarner Inc | Stock-Consumer Disc | 0.67% | +0.67% | NEW | |
| 50 | AMX | America Movil Sab De Cv | Stock-Other | 0.66% | -0.11% | +7.35% |
1–50 of 97
Portfolio Performance
Performance for Q4 2026
+2.1%
Performance Last 4 Quarters
+18.8%
- Stdev
- +14.6%
- Beta
- +0.67
- Alpha
- +6%
- Max Drawdown
- -8.9%
- Annualized Perf
- +18.5%
- Batting Avg vs S&P
- +43.8%
- Sortino
- +2.2
- Stutzer
- +0.36
- Treynor
- +0.27
- Sterling
- +0.99
- Calmar
- +2.09
- Information Ratio
- +0.01
- Tracking Error
- +12.8%
- Stdev Down
- +8.3%
- Winning Months %
- +68.8%
- Losing Months %
- +31.3%
- Best 12 Months
- +38.6%
- Worst 12 Months
- +6.6%
- Efficiency Ratio
- +0.5
- Sharpe
- +1.24
- Stdev Sectors
- +6.4%
- Skewness
- -0.48
- Kurtosis
- +0.06
- Upside Potential
- +3.7
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Klein Pavlis & Peasley Financial, Inc.'s most significant position changes for 2026-09-30: Sold out: Rb Global Inc (RBA); Sold out: Conocophillips (COP); New buy: Delta Air Lines Inc (DAL); Sold out: Avalonbay Communities Inc (AVB); New buy: Baxter International Inc (BAX).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | SGOV | Ishares 0-3 Month Treasury B | +2.1% | +61.28% | Add |
| 2 | DAL | Delta Air Lines Inc | +1.3% | NEW | New buy |
| 3 | BAX | Baxter International Inc | +1.1% | NEW | New buy |
| 4 | EQR | Equity Residential | +1.1% | NEW | New buy |
| 5 | LDOS | Leidos Holdings Inc | +1% | +71.69% | Add |
| 6 | AEM | Agnico Eagle Mines LTD | +0.9% | +4.14% | Add |
| 7 | SCCO | Southern Copper CORP | +0.7% | +9.80% | Add |
| 8 | WPM | Wheaton Precious Metals CORP | +0.7% | +3.63% | Add |
| 9 | BWA | Borgwarner Inc | +0.7% | NEW | New buy |
| 10 | GTX | Garrett Motion Inc | +0.5% | NEW | New buy |
| 11 | A | Agilent Technologies Inc | +0.4% | NEW | New buy |
| 12 | IMO | Imperial Oil LTD | +0.4% | +61.92% | Add |
| 13 | IWD | Ishares Russell 1000 Value E | +0.4% | NEW | New buy |
| 14 | QCOM | Qualcomm Inc | +0.4% | +34.56% | Add |
| 15 | MDT | Medtronic plc | +0.3% | +6.71% | Add |
| 16 | B | Barrick Mining CORP | +0.3% | +10.25% | Add |
| 17 | TMUS | T-mobile US Inc | +0.3% | +189.43% | Add |
| 18 | CSX | Csx CORP | +0.3% | +42.31% | Add |
| 19 | PM | Philip Morris International | +0.3% | +3.39% | Add |
| 20 | SONY | Sony Group CORP - Sp Adr | +0.3% | +7.68% | Add |
| 21 | EMBJ | Embraer Sa-spon Adr | +0.3% | -0.57% | Trim |
| 22 | ✓ | +0.2% | NEW | New buy | |
| 23 | PWR | Quanta Services Inc | +0.2% | NEW | New buy |
| 24 | FSM | Fortuna Mining CORP | +0.2% | +6.77% | Add |
| 25 | MCK | Mckesson CORP | +0.2% | +11.08% | Add |
| 26 | QLD | Proshares Ultra Qqq | +0.2% | NEW | New buy |
| 27 | IJJ | Ishares S&p Mid-cap 400 Valu | +0.2% | NEW | New buy |
| 28 | SSO | Proshares Ultra S&p500 | +0.2% | NEW | New buy |
| 29 | ABT | Abbott Laboratories | +0.2% | +5.15% | Add |
| 30 | FNV | Franco-nevada CORP | +0.2% | +3.45% | Add |
| 31 | VOO | Vanguard S&p 500 ETF | +0.1% | +61.99% | Add |
| 32 | SCHW | Schwab (charles) CORP | +0.1% | +1.02% | Add |
| 33 | FCX | Freeport-mcmoran Inc | +0.1% | +10.20% | Add |
| 34 | FOXA | Fox CORP - Class A | +0.1% | NEW | New buy |
| 35 | EFV | Ishares Msci Eafe Value ETF | +0.1% | NEW | New buy |
| 36 | MSFT | Microsoft CORP | +0.1% | NEW | New buy |
| 37 | ULTA | Ulta Beauty Inc | +0.1% | NEW | New buy |
| 38 | CME | Cme Group Inc | +0.1% | NEW | New buy |
| 39 | ✓ | +0.1% | NEW | New buy | |
| 40 | IBN | Icici Bank Ltd-spon Adr | +0.1% | +13.96% | Add |
| 41 | BBVA | Banco Bilbao Vizcaya-sp Adr | +0.1% | +0.67% | Add |
| 42 | AME | Ametek Inc | +0.1% | +14.63% | Add |
| 43 | REGN | Regeneron Pharmaceuticals | +0.1% | NEW | New buy |
| 44 | CINF | Cincinnati Financial CORP | +0.1% | +28.52% | Add |
| 45 | DGX | Quest Diagnostics Inc | +0.1% | +4.80% | Add |
| 46 | EQNR | Equinor Asa-spon Adr | +0.1% | +1.24% | Add |
| 47 | RJF | Raymond James Financial Inc | +0.1% | +8.51% | Add |
| 48 | ROK | Rockwell Automation Inc | +0.1% | +19.81% | Add |
| 49 | BKE | Buckle Inc/the | +0.1% | +11.25% | Add |
| 50 | AAPL | Apple Inc | 0% | +1.13% | Add |
1–50 of 108
Filing History
FAQ
What is Klein Pavlis & Peasley Financial, Inc. and what type of investor is it?
Klein Pavlis & Peasley Financial, Inc. is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $197.5M, spread across 97 disclosed positions.
What are Klein Pavlis & Peasley Financial, Inc.'s largest equity positions?
Based on the latest 13F filing, Klein Pavlis & Peasley Financial, Inc.'s top holdings by market value are:
1. Ishares 0-3 Month Treasury B (SGOV) — $11.2M (5.7%)
2. Agnico Eagle Mines LTD (AEM) — $11.0M (5.6%)
3. Philip Morris International (PM) — $8.8M (4.5%)
4. Wheaton Precious Metals CORP (WPM) — $7.9M (4.0%)
5. Southern Copper CORP (SCCO) — $7.1M (3.6%)
What changes did Klein Pavlis & Peasley Financial, Inc. make in its most recent portfolio filing?
In the latest reported quarter, Klein Pavlis & Peasley Financial, Inc. made 108 notable position adjustments: 19 new positions were initiated, 60 existing holdings were added to, 18 positions were partially reduced, and 11 were completely exited. The largest of these moves: Sold out: Rb Global Inc (RBA); Sold out: Conocophillips (COP); New buy: Delta Air Lines Inc (DAL); Sold out: Avalonbay Communities Inc (AVB); New buy: Baxter International Inc (BAX)
What sectors does Klein Pavlis & Peasley Financial, Inc. focus on?
Klein Pavlis & Peasley Financial, Inc. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Materials: 21.5%
• Financials: 15.6%
• Information Technology: 14.1%
• Health Care: 13.1%
• Industrials: 12.9%
• Consumer Staples: 7.2%
Investment Profile
Klein Pavlis & Peasley Financial, Inc. returned an annualized 18.5% over the trailing 32 months — outperforming the S&P 500 by 6.0 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.67 (less volatile than the market) and a 44% quarterly batting average against the index.
Its portfolio is broadly diversified and moderately active.
Its turnover score has fallen from 64 to 35 over the past 4 quarters — a shift toward longer holding periods.
It has added to its SGOV position over the past two quarters (+$5.7M, now $11.2M), while trimming AGI over the same stretch (-$1.8M, still holding $2.5M).
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