# Kaizen Financial Strategies, LLC

> Kaizen Financial Strategies, LLC is an SEC-registered investment advisory firm in Pleasanton, CA, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.

- CRD: 298248
- Filed as: KAIZEN FINANCIAL STRATEGIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Pleasanton, CA
- Filing period: October 2026
- Form ADV filing dated: March 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/298248
- AdvisorCensus page: https://advisorcensus.com/firm/kaizen-financial-strategies-llc-pleasanton-ca-298248

## Quick answers

**How is Kaizen Financial Strategies, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Kaizen Financial Strategies, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Kaizen Financial Strategies, LLC located?**
Kaizen Financial Strategies, LLC's principal office is in Pleasanton, CA, according to its Form ADV.

**Is Kaizen Financial Strategies, LLC registered with the SEC or a state?**
Kaizen Financial Strategies, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 298248.

**How much does Kaizen Financial Strategies, LLC manage?**
Kaizen Financial Strategies, LLC reports $287,108,827 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (99% discretionary).

**How have Kaizen Financial Strategies, LLC's assets and staff changed since 2021?**
In the Form ADV data for Kaizen Financial Strategies, LLC: Regulatory assets under management: $142,321,567 in the October 2021 data and $287,108,827 in the October 2026 data, up 102%. Total employees: 6 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Kaizen Financial Strategies, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (229); high net worth individuals (55).

**Which custodians does Kaizen Financial Strategies, LLC use?**
Kaizen Financial Strategies, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Kaizen Financial Strategies, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/298248

**What changed in Kaizen Financial Strategies, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $234,439,946 to $287,108,827 (+22%). Registered or notice-filed in NY.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $287,108,827
- Discretionary: $285,232,320
- Non-discretionary: $1,876,507

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 229 | $143,573,374 |
| High net worth individuals | 55 | $132,583,063 |
| Charitable organizations | Fewer than 5 | $8,307,701 |
| Corporations or other businesses not listed above | Fewer than 5 | $2,644,689 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 2018 (7 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, NY, TX, VA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- kfstrategies.us
- LinkedIn @IFTIAHMED
- LinkedIn @JOHN-STACHNICK-2B9164178
- LinkedIn @SAADIA-AHMED-CFP®-CMFC®-51A1742
- LinkedIn @18979364
- LinkedIn @saul-greene-8688a850

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $142,321,567 | 6 | September 27, 2021 |
| October 2022 | $176,585,470 | 8 | January 26, 2022 |
| October 2023 | $141,286,698 | 7 | February 20, 2023 |
| October 2024 | $182,673,115 | 6 | May 7, 2024 |
| October 2025 | $234,439,946 | 5 | March 24, 2025 |
| October 2026 | $287,108,827 | 5 | March 3, 2026 |

Regulatory assets under management: $142,321,567 in the October 2021 data and $287,108,827 in the October 2026 data, up 102%.
Total employees: 6 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $234,439,946 to $287,108,827 (+22%).
- Registered or notice-filed in NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Kaizen Financial Strategies, LLC (CRD 298248): Form ADV filing data as of October 2026.