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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

KAIZEN ADVISORY, LLC

CRD 171520

WHEATON, IL

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:f4eae83b-e198-4c97-b318-34645dce6e02

Data as of Mar 1, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Aug 12, 2014 to Mar 1, 2019
15 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $275MItem 5.F on the latest filing (2019-03-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $275M
Private client RAUM: $6.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 9
High net worth clients: 9
SEC number: 801-80221
CRD: 171520
Filings on the tape: 15
First filed: Aug 12, 2014
Latest filed: Mar 1, 2019
Organised: Limited Liability Company, Illinois

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
YOUNG, THOMAS, RICHARD	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	Na	yes	05/2014	Aug 12, 2014	Mar 1, 2019
ZAYED, DEAN	Owner	E	yes	03/2015	Mar 31, 2015	Mar 1, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROOKSTONE CAPITAL MANAGEMENT LLC	n/a	Independent wealth	$13B	N	yes	n/a
PERKINS & ZAYED, P.C.	n/a	n/a	n/a	N	yes	n/a

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	Offices	Private funds	Fund GAV
2018	Mar 1, 2019	$275M	$275M	3	3	0	n/a	n/a
2017	Mar 26, 2018	$253M	$253M	3	3	0	n/a	n/a
2016	Jan 17, 2017	$155M	$155M	3	3	n/a	n/a	n/a
2015	Feb 22, 2016	$145M	$145M	3	2	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	1	1	n/a	n/a	n/a

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
2018	$275M	$253M	8.7%	$145M	23.7%	3	3	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
THOMPSON CAPITAL MANAGEMENT, LLC	2	May 16, 2019	May 14, 2019	WHEATON, IL	Team lift out	Other	100.0%

Relationships

Affiliated with (1)

→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← ZAYED, DEANOwnerOWNER, ownership code E, individual
Mar 31, 2015 to presentfactForm ADV
← YOUNG, THOMAS, RICHARDOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 12, 2014 to presentfactForm ADV

Registered with (3)

← MICHAEL ANTHONY THOMPSONAdvisorregistration: previous registration
Oct 3, 2016 to May 16, 2019factForm ADV
← DAVID MATTHEW THOMPSONAdvisorregistration: previous registration
Jan 13, 2016 to May 16, 2019factForm ADV
← THOMAS RICHARD YOUNGAdvisorregistration: previous registration
Jan 21, 2016 to Apr 23, 2019factForm ADV

Moved with (1)

→ THOMPSON CAPITAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
May 16, 2019 to May 14, 2019factForm ADV

Dated events

Occurred
Aug 12, 2014
First Form ADV filing
Kaizen Advisory, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4eae83b-e198-4c97-b318-34645dce6e02
First observed: Aug 12, 2014
Last observed: Mar 1, 2019 92 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 ADVISORY, LLC

CRD 171520

WHEATON, IL

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:f4eae83b-e198-4c97-b318-34645dce6e02

Data as of Mar 1, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

YOUNG, THOMAS, RICHARD

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

05/2014

Aug 12, 2014

Mar 1, 2019

ZAYED, DEAN

Owner

yes

03/2015

Mar 31, 2015

Mar 1, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROOKSTONE CAPITAL MANAGEMENT LLC

n/a

Independent wealth

$13B

yes

n/a

PERKINS & ZAYED, P.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 1, 2019

$275M

n/a

2017

Mar 26, 2018

$253M

n/a

2016

Jan 17, 2017

$155M

n/a

2015

Feb 22, 2016

$145M

n/a

2014

Mar 31, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$275M

$253M

8.7%

$145M

23.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

THOMPSON CAPITAL MANAGEMENT, LLC

May 16, 2019

May 14, 2019

WHEATON, IL

Team lift out

Other

100.0%