Grace K. Pettit

KLEINFELDER CAPITAL

Cincinnati, OH 45236

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CRD#: 7646283

Professional summary

Grace Katherine Pettit is a registered financial advisor currently at KLEINFELDER CAPITAL, INC. located in Cincinnati, Ohio.

Grace is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Grace has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Kings Island Amusement and Water Park; Not Investment Related; 6300 Kings Island Dr, Mason, OH. 45040; Amusement Park; Admissions Associate; 04/15/2017; Approximately 50 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Katherine Pettit's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 9, 2022 - Present

KLEINFELDER CAPITAL, INC.

Office #1: 8050 Hosbrook Road Suite 200, Cincinnati, OH 45236

RIA

CRD#: 289345

Cincinnati, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KLEINFELDER CAPITAL, INC.

CHARLESTON CAPITAL, INC. | KLEINFELDER CAPITAL, INC.

CRD#: 289345 / SEC#: 801-111047

RIA

Registered Investment Advisory firm - (8/24/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/31/2022

Uniform Investment Adviser Law Examination

Current Firm

KLEINFELDER CAPITAL, INC.

CHARLESTON CAPITAL, INC. | KLEINFELDER CAPITAL, INC.

CRD#: 289345 / SEC#: 801-111047

RIA

Registered Investment Advisory firm - (8/24/2017 Approved)

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Contact information

Main Address

8050 Hosbrook Road Suite 200, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 808-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KLEINFELDER DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (2/24/2025)

Regulatory assets under management

Total Number of Accounts	1,037
AUM (Assets Under Management)	$ 306,833,604

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Grace K. Pettit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Katherine Pettit's CRS (Customer Relationship Summary).

Certified licenses

Experience

KLEINFELDER CAPITAL, INC.

Primary Firm SEC Registration

KLEINFELDER CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2022

Current Firm

KLEINFELDER CAPITAL, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KLEINFELDER CAPITAL, INC.

TRUST BUT VERIFY

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