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KAIZEN FINANCIAL STRATEGIES, LLC

PLEASANTON, CA · CRD 298248 · IAPD ↗ · (408) 819-9010

$287.1MRegulatory AUM
5Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — KAIZEN FINANCIAL STRATEGIES, LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
April 2026 — KAIZEN FINANCIAL STRATEGIES, LLC moved its main office from CAMPBELL, CA to PLEASANTON, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
42
April 2025 — KAIZEN FINANCIAL STRATEGIES, LLC notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2025 — KAIZEN FINANCIAL STRATEGIES, LLC reported RAUM up 28% ($182.7M -> $234.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
April 2024 — KAIZEN FINANCIAL STRATEGIES, LLC reported RAUM up 29% ($141.3M -> $182.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.