KAIZEN FINANCIAL ADVISORS, LLC
Adviser information for KAIZEN FINANCIAL ADVISORS, LLC last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 144 | $220.3M |
| Non-Discretionary | 1 | $535,705 |
| Total | 145 | $220.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 51 | $16.5M |
| HNW Individuals | 89 | $195.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $8.5M |
| Charitable organizations | <5 | $535,705 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-115111 |
|---|---|
| SEC ERA File Number | 801-115111 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155353 |
| Legal Entity Identifier | None |
Principal Office
4030 LAKE WASHINGTON BLVDSUITE 308
KIRKLAND
WA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 800-321-5846, Fax: 425-321-5800
Chief Compliance Officer
LAURIE KLEIN
MANAGING MEMBER
4030 LAKE WASHINGTON BLVD
SUITE 308
KIRKLAND
WA
United States
Tel:
425-321-5802
Fax:
425-321-5800
L*****@***********M
(Full email address available in API data)
Regulatory Contact
MATTHEW MILLMAN
COMPLIANCE COUNSEL (EXTERNAL)
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KLEIN, LAURIE, LAVERNE | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 10/2010 | > 75% |