# Kaizen Retirement Plan Advisors, LLC

> 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.

- CRD: 289238
- Filed as: KAIZEN RETIREMENT PLAN ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/289238
- AdvisorCensus page: https://advisorcensus.com/firm/kaizen-retirement-plan-advisors-llc-289238

## Quick answers

**How is Kaizen Retirement Plan Advisors, LLC compensated?**
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).

**How much does Kaizen Retirement Plan Advisors, LLC charge?**
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.

**Is Kaizen Retirement Plan Advisors, LLC registered with the SEC or a state?**
Kaizen Retirement Plan Advisors, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 289238.

**How much does Kaizen Retirement Plan Advisors, LLC manage?**
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).

**How have Kaizen Retirement Plan Advisors, LLC's assets and staff changed since 2024?**
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.

**What types of clients does Kaizen Retirement Plan Advisors, LLC serve?**
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).

**Which custodians does Kaizen Retirement Plan Advisors, LLC use?**
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.

**Does Kaizen Retirement Plan Advisors, 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/289238

**Does Kaizen Retirement Plan Advisors, LLC state an account minimum?**
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."

**What changed in Kaizen Retirement Plan Advisors, LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $118,441,974 to $155,945,222 (+32%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 20, 2026)

- Asset-based fee: 0.05% to 1% a year (a range, as the brochure states it)

> 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.

- Account minimum: $500,000

> Kaizen generally requires a minimum account size of $500,000 to effectively implement its investment process.

- Flat fee: $10,000 a year (investment advisory services)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Broadridge Business Process Outsourcing, LLC

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: $155,945,222
- Discretionary: $46,737,285
- Non-discretionary: $109,207,937

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2 | $1,066,209 |
| High net worth individuals | 3 | $6,492,063 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 21 | $148,386,950 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Educational seminars/workshops

### Firm details
- Registered since: 2024 (2 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MA, ME
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- kaizenrpa.com
- LinkedIn @bill-gleavy-aif

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $130,939,035 | 1 | April 11, 2024 |
| October 2025 | $118,441,974 | 1 | February 10, 2025 |
| October 2026 | $155,945,222 | 1 | February 20, 2026 |

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.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $118,441,974 to $155,945,222 (+32%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Kaizen Retirement Plan Advisors, LLC (CRD 289238): Form ADV filing data as of October 2026.