KAIZEN FINANCIAL STRATEGIES, LLC

RIASEC RegisteredEst. 2018
Total AUM
$287M
Discretionary
$285M
99% of AUM
Avg account
$383K
Accounts
749
Employees
5
Advisory reps
5

Firm details

Headquarters
PLEASANTON, California
CRD number
298248
Registered since
November 2, 2018
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • Individuals50.01%
  • HNWI46.18%
  • Charitable Organizations2.89%
  • Corporations / Businesses0.92%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

Kaizen Financial Strategies, LLC is an independent registered investment adviser established in 2018 and organized as an LLC with individual ownership. The firm focuses on working with individual and family clients, offering financial planning alongside portfolio management for both individuals/small businesses and larger business or institutional accounts. Their advisory services also include pension consulting. Kaizen charges on a mix of percentage-of-AUM, hourly, and fixed-fee bases, and identifies itself as an active ESG investor. The firm does not operate as a capital allocator; it allocates client capital to external managers and pooled vehicles rather than running its own private funds.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 52%, Exchange Traded Equities 40%, US Government Bonds 3%, Cash & Cash Equivalents 3%, Derivatives 1%, Other 1%52%
  • Public Funds/Mutual Funds52%
  • Exchange Traded Equities40%
  • US Government Bonds3%
  • Cash & Cash Equivalents3%
  • Derivatives1%

Contacts

3 of 5
  • IFTIKHAR AHMED

    Advisor & Managing PartnerCRD 6270480

  • JOHN STACHNICK

    Co-Founder & Principal AdvisorCRD 4881131

  • SAUL GREENE

    Principal & AdvisorCRD 4453934

Unlock 2 more contacts

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 111

Active vs passive

$173M in ETFs

Passive

64%

$111M

Active

31%

$62.1M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$18.4M26,22510.64%

Location

Primary office

PLEASANTON, CA

ALAMEDA

Location

PLEASANTON, CA

Headquartered in PLEASANTON, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
ALAMEDA
Address
6700 Koll Center Pkwy
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth