{
  "crd_number": 289238,
  "slug": "kaizen-retirement-plan-advisors-llc-289238",
  "primary_business_name": "KAIZEN RETIREMENT PLAN ADVISORS, LLC",
  "legal_name": "KAIZEN RETIREMENT PLAN ADVISORS, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-05-10",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-02-20",
  "carried_forward": false,
  "raum_total": 155945222.0,
  "raum_discretionary": 46737285.0,
  "raum_non_discretionary": 109207937.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 1066209.0,
      "count": 2,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 148386950.0,
      "count": 21
    },
    "high_net_worth_individuals": {
      "raum": 6492063.0,
      "count": 3,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "MA",
    "ME"
  ],
  "websites": [
    "https://kaizenrpa.com",
    "https://linkedin.com/in/bill-gleavy-aif"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289238",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/kaizen-retirement-plan-advisors-llc-289238",
  "display_name": "Kaizen Retirement Plan Advisors, LLC",
  "summary": "Kaizen Retirement Plan Advisors, LLC is an SEC-registered investment advisory firm, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 20, 2026.",
  "citation": "AdvisorCensus. Kaizen Retirement Plan Advisors, LLC (CRD 289238): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Kaizen Retirement Plan Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Kaizen Retirement Plan Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Kaizen Retirement Plan Advisors, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated February 20, 2026 states: Asset-based fee: 0.05% to 1% a year (a range, as the brochure states it); Flat fee: $10,000 a year (investment advisory services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Is Kaizen Retirement Plan Advisors, LLC registered with the SEC or a state?",
      "a": "Kaizen Retirement Plan Advisors, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 289238."
    },
    {
      "q": "How much does Kaizen Retirement Plan Advisors, LLC manage?",
      "a": "Kaizen Retirement Plan Advisors, LLC reports $155,945,222 in regulatory assets under management in its Form ADV filing dated February 20, 2026 (30% discretionary)."
    },
    {
      "q": "How have Kaizen Retirement Plan Advisors, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Kaizen Retirement Plan Advisors, LLC: Regulatory assets under management: $130,939,035 in the October 2024 data and $155,945,222 in the October 2026 data, up 19%. Total employees: 1 in October 2024 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Kaizen Retirement Plan Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (21); high net worth individuals (3); individuals (other than high net worth individuals) (2)."
    },
    {
      "q": "Which custodians does Kaizen Retirement Plan Advisors, LLC use?",
      "a": "Kaizen Retirement Plan Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Broadridge Business Process Outsourcing, LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Kaizen Retirement Plan Advisors, LLC report any disciplinary disclosures?",
      "a": "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/289238"
    },
    {
      "q": "Does Kaizen Retirement Plan Advisors, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated February 20, 2026 says: \"Kaizen generally requires a minimum account size of $500,000 to effectively implement its investment process.\""
    },
    {
      "q": "What changed in Kaizen Retirement Plan Advisors, LLC's recent Form ADV filings?",
      "a": "In the March 2026 filing data: Regulatory assets under management went from $118,441,974 to $155,945,222 (+32%)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 130939035.0,
      "total_employees": 1,
      "filing_date": "2024-04-11"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 118441974.0,
      "total_employees": 1,
      "filing_date": "2025-02-10"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 155945222.0,
      "total_employees": 1,
      "filing_date": "2026-02-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $118,441,974 to $155,945,222 (+32%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 20, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.05% to 1% a year",
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $10,000 a year (investment advisory services)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.05% to 1% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Investment Advisory Fees depend on asset size, plan complexity and number of fa ce- to face meetings and thus range from .05% to 1.00% of plan assets, depending on the size of plan assets and complexity of the Client relationship."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000"
        ],
        "quotes": [
          "Kaizen generally requires a minimum account size of $500,000 to effectively implement its investment process."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $10,000 a year (investment advisory services)"
        ],
        "quotes": [
          "Flat Dollar Fee – The Client may elect to have the fees deducted from the account by electing a flat dollar fee. For example, the annual fee is a flat $10,000 for the calendar year."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.05,
        1.0
      ],
      "max_pct": null,
      "account_minimum": 500000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": 10000.0,
          "min": null,
          "max": null,
          "period": "annual",
          "service": "investment advisory services"
        }
      ]
    },
    "quotes": [
      "Investment Advisory Fees depend on asset size, plan complexity and number of fa ce- to face meetings and thus range from .05% to 1.00% of plan assets, depending on the size of plan assets and complexity of the Client relationship.",
      "Kaizen generally requires a minimum account size of $500,000 to effectively implement its investment process.",
      "Flat Dollar Fee – The Client may elect to have the fees deducted from the account by electing a flat dollar fee. For example, the annual fee is a flat $10,000 for the calendar year."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Broadridge Business Process Outsourcing, LLC",
      "name_as_filed": "BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/kaizen-retirement-plan-advisors-llc-289238.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 1066209.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 3,
      "fewer_than_5": true,
      "raum": 6492063.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 21,
      "fewer_than_5": false,
      "raum": 148386950.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/289238",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}