Kaizen Financial Strategies, LLC (Campbell)

Name: Kaizen Financial Strategies, LLC
Address: 2105 South Bascom Ave, Suite 295, Campbell, CA, 95008
Telephone: (408) 819-9010

Kaizen Financial Strategies, LLC is a large advisory firm based in Campbell. It manages $100.95 million of regulatory assets for 409 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of California and Texas.

Kaizen Financial Strategies provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kaizen Financial Strategies: assets under management

The assets under management (AUM) of Kaizen Financial Strategies, LLC is $100.95 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 35% since the beginning of its operation, and $3.04 million of the total AUM is attributable to clients outside of the United States.

The firm manages $100.95 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $246.82 thousand each.

Kaizen Financial Strategies has custody of $7.23 million in cash and securities for 33 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 57% of the total AUM. The second-largest asset type is exchange traded securities, which make up 32% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kaizen Financial Strategies, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kaizen Financial Strategies serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Kaizen Financial Strategies is individuals with 171 clients and $61.19 million of assets under management. Among the 9 most similar advisory firms, Kaizen Financial Strategies has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $100.95 million for 194 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kaizen Financial Strategies doesn't advise any private funds.

Careers at Kaizen Financial Strategies, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Antone Stachnick	Chief compliance officer	1 Nov 2018	Other	4881131
Iftikhar Mahmud Ahmed	Managing member	1 Nov 2018	50% - 75%	6270480
Saadia Shakur Ahmed	Managing member	1 Nov 2018	50% - 75%	3008616

Based in Campbell

The principal office where Kaizen Financial Strategies, LLC performs its advisory services is located at 2105 South Bascom Ave, Suite 295, Campbell, CA 95008, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (408) 819-9010. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at kfstrategies.us.