Kaizen Financial Advisors, LLC (Kirkland)


Kaizen Financial Advisors, LLC is a large advisory firm based in Kirkland. It manages $121.43 million of regulatory assets for 115 client accounts. It has been registered with the SEC as an adviser since 2019 and has operated in the jurisdictions of Texas and Washington.

Kaizen Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kaizen Financial Advisors: assets under management

The assets under management (AUM) of Kaizen Financial Advisors, LLC is $121.43 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $119.78 million in discretionary accounts and $1.65 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.05 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.65 million.

Investments

The firm invests in exchange traded securities the most. They account for 56% of the total AUM. The second-largest asset type is investment and business development companies, which make up 28% of the firm’s portfolio. Investments in non-exchange traded securities form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kaizen Financial Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kaizen Financial Advisors serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Kaizen Financial Advisors is individuals with 68 clients and $93.11 million of assets under management. Among the 10 most similar advisory firms, Kaizen Financial Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $121.43 million for 115 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kaizen Financial Advisors doesn't advise any private funds.

Careers at Kaizen Financial Advisors, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Laurie Laverne Klein Managing member/chief compliance officer 1 Oct 2010 50% - 75% 4478848

Based in Kirkland

The principal office where Kaizen Financial Advisors, LLC performs its advisory services is located at 4030 Lake Washington Blvd, Kirkland, WA 98033, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800.321.5846 or by fax 425.321.5800. The normal business hours are by appointment only on Monday - Friday. You can find more information about the New York firm at kaizenfa.com and its LinkedIn profile.

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