Kaizen Financial Strategies, LLC

Kaizen Financial Strategies, LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Pleasanton, California. On its latest Form ADV, filed March 3, 2026, it reports $287M in regulatory assets under management, 284 individual clients and 5 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	SEC-registered
Firm CRD number	298248 · SEC file 801-114234
Office	6700 Koll Center Parkway Suite 255 Pleasanton, CA 94566
Phone	(408) 819-9010
Website	www.kfstrategies.us
Regulatory assets under management	$287M ($285M discretionary)
Individual clients	229 non-high-net-worth, 55 high-net-worth
Financial planning clients	0
How it charges	Percentage of assets, Hourly, Fixed fee
Services	Financial planning, Portfolio management, Pension consulting
Employees	5
Disciplinary disclosures	None reported
Latest Form ADV filing	March 3, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
• It also charges a percentage of assets managed for ongoing investment management.
• Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
• It provides financial planning services, not only portfolio management.
• It sponsors or manages a wrap fee program; ask what the bundled fee covers.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

Other fee-only advisers in Pleasanton

• RPG Investment Advisory, LLC $1.0B
• Mirador Capital Partners $1.0B
• Sierra Pacific Private Wealth, LLC $246M
• Grant Private Wealth Management $255M
• Adap Tax Financial, Inc. $38M
• The R.l. Brown Advisory Group, LLC $12M

See all 12 fee-only advisers in Pleasanton →

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