DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

KAIZEN FINANCIAL STRATEGIES, LLC

CRD 298248

PLEASANTON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:67b50b69-ac36-dafc-0f7e-2f65e09c8b90

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Oct 2, 2018 to Mar 3, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $287MItem 5.F on the latest filing (2026-03-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $285M
Private client RAUM: $276MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $57.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 749
Individual clients: 229
High net worth clients: 55
Custody, client assets: $53.2M
SEC number: 801-114234
CIK: 1085146
CRD: 298248
Filings on the tape: 28
First filed: Oct 2, 2018
Latest filed: Mar 3, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SAADIA SHAKUR AHMED	Certified Financial Planner	PLEASANTON, CA	7	28	1	no
SAUL RICHARD GREENE	n/a	PLEASANTON, CA	7	24	2	no
JOHN ANTONE STACHNICK	n/a	PLEASANTON, CA	7	21	1	no
IFTIKHAR MAHMUD AHMED	Certified Financial Planner	PLEASANTON, CA	7	12	1	no
ZAINEB SUMAYYA SOHAIL	n/a	PLEASANTON, CA	4	16	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AHMED, IFTIKHAR, MAHMUD	MANAGING MEMBER	D	yes	11/2018	Oct 2, 2018	May 7, 2024
AHMED, SAADIA, SHAKUR	MANAGING MEMBER	D	yes	11/2018	Oct 2, 2018	May 7, 2024
STACHNICK, JOHN, ANTONE	CHIEF COMPLIANCE OFFICER	Na	no	11/2018	Oct 2, 2018	May 7, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 3, 2026	$287M	$285M	5	5	n/a	n/a
2024	Mar 24, 2025	$234M	$233M	5	5	n/a	n/a
2023	Mar 18, 2024	$183M	$181M	6	5	n/a	n/a
2022	Feb 20, 2023	$141M	$140M	7	5	n/a	n/a
2021	Jan 26, 2022	$177M	$175M	8	5	n/a	n/a
2020	Jan 11, 2021	$142M	$141M	6	4	n/a	n/a
2019	Feb 5, 2020	$117M	$117M	4	4	n/a	n/a
2018	Mar 7, 2019	$74.9M	$74.9M	4	4	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$287M	$234M	22.5%	$141M	26.7%	5	5	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WADDELL & REED	4	Nov 12, 2018	Nov 2, 2018	CUPERTINO, CA	Team lift out	Ibd to new firm	0.3%

Relationships

Registered with (5)

← ZAINEB SUMAYYA SOHAILAdvisorregistration: current employment
Dec 13, 2021 to presentfactForm ADV
← SAADIA SHAKUR AHMEDAdvisorregistration: current employment
Nov 2, 2018 to presentfactForm ADV
← SAUL RICHARD GREENEAdvisorregistration: current employment
Nov 2, 2018 to presentfactForm ADV
← JOHN ANTONE STACHNICKAdvisorregistration: current employment
Nov 2, 2018 to presentfactForm ADV
← IFTIKHAR MAHMUD AHMEDAdvisorregistration: current employment
Nov 2, 2018 to presentfactForm ADV

Controls (2)

← AHMED, SAADIA, SHAKUROwnerMANAGING MEMBER, ownership code D, individual
Oct 2, 2018 to May 7, 2024factForm ADV
← AHMED, IFTIKHAR, MAHMUDOwnerMANAGING MEMBER, ownership code D, individual
Oct 2, 2018 to May 7, 2024factForm ADV

Owns (1)

← STACHNICK, JOHN, ANTONEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 2, 2018 to May 7, 2024factForm ADV

Moved with (1)

← WADDELL & REEDRegistered adviser4 advisors, team lift out, same day
Nov 12, 2018 to Nov 2, 2018factForm ADV

Dated events

Occurred
Oct 2, 2018
First Form ADV filing
Kaizen Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67b50b69-ac36-dafc-0f7e-2f65e09c8b90
First observed: Oct 2, 2018
Last observed: Mar 3, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KAIZEN FINANCIAL STRATEGIES, LLC

CRD 298248

PLEASANTON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:67b50b69-ac36-dafc-0f7e-2f65e09c8b90

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SAADIA SHAKUR AHMED

Certified Financial Planner

PLEASANTON, CA

SAUL RICHARD GREENE

n/a

PLEASANTON, CA

JOHN ANTONE STACHNICK

n/a

PLEASANTON, CA

IFTIKHAR MAHMUD AHMED

Certified Financial Planner

PLEASANTON, CA

ZAINEB SUMAYYA SOHAIL

n/a

PLEASANTON, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AHMED, IFTIKHAR, MAHMUD

MANAGING MEMBER

yes

11/2018

Oct 2, 2018

May 7, 2024

AHMED, SAADIA, SHAKUR

MANAGING MEMBER

yes

11/2018

Oct 2, 2018

May 7, 2024

STACHNICK, JOHN, ANTONE

CHIEF COMPLIANCE OFFICER

11/2018

Oct 2, 2018

May 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 3, 2026

$287M

$285M

n/a

2024

Mar 24, 2025

$234M

$233M

n/a

2023

Mar 18, 2024

$183M

$181M

n/a

2022

Feb 20, 2023

$141M

$140M

n/a

2021

Jan 26, 2022

$177M

$175M

n/a

2020

Jan 11, 2021

$142M

$141M

n/a

2019

Feb 5, 2020

$117M

n/a

2018

Mar 7, 2019

$74.9M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$287M

$234M

22.5%

$141M

26.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WADDELL & REED

Nov 12, 2018

Nov 2, 2018

CUPERTINO, CA

Team lift out

Ibd to new firm

0.3%