DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Kaizen Financial Advisors, LLC
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2019 · 14 filings
SEC status approved since Apr 30, 2019
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$262M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$284M as of Mar 25, 2026
Mar 30, 2020$146M then
HNW client RAUM$230M as of Mar 25, 2026
Mar 30, 2020$129M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 30, 20200 then
Employees (5.A)4 as of Mar 25, 2026
Mar 30, 20204 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $453,172derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$230M81%
- Individuals$32.1M11%
- Pension and profit-sharing plans$15.9M5.6%
- Charitable organizations$5.4M1.9%
- Individual clients
- 70reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 626reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Laurie Laverne KleinCertified Financial Planner | Kirkland, Wa | Oct 27, 2010 | 24 y | 1 |
| Emily Jane BushongCertified Financial Planner | Canyon Lake, Ca | Mar 6, 2026 | 19 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Madison Williams to Avier Wealth AdvisorsApr 7, 2025 · RIA to RIA
- Brook Austin Anderson to Cutler Investment GroupNov 22, 2021 · RIA to RIA
- Brian Douglas Gawthrop to Horizon Asset ManagementApr 13, 2011 · Other
Joined, latest
- Emily Jane Bushong from Pence Wealth Management, Inc.Mar 6, 2026 · Other
- Madison Williams from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 8, 2025 · Wirehouse to independent RIA
- Laurie Laverne Klein from Ameriprise Financial Services, LLCOct 27, 2010 · Affiliated broker-dealer or bank to independent RIA
- Brian Douglas Gawthrop from Harvest Capital Advisors Inc.Oct 27, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Laverne Laurie Klein · Managing Member/Chief Compliance Officercontrolsince 10/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 560 to 626Mar 19, 2025 to Mar 25, 2026
- HNW clients · 79 to 80Mar 19, 2025 to Mar 25, 2026
- Individual clients · 61 to 70Mar 19, 2025 to Mar 25, 2026
- State-registered IARs · 1 to 2Mar 19, 2025 to Mar 25, 2026
- Other offices · 0 to 1Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $244M to $284MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $210M to $230MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $20.7M to $32.1MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $10.2M to $15.9MMar 19, 2025 to Mar 25, 2026
- RAUM · $244M to $284MMar 19, 2025 to Mar 25, 2026
- Accounts · 145 to 560Mar 14, 2024 to Mar 19, 2025
- Advisory employees · 1 to 2Mar 14, 2024 to Mar 19, 2025
- Charity clients · 1.0 to unsetMar 14, 2024 to Mar 19, 2025
- Corporate clients · 0.0 to unsetMar 14, 2024 to Mar 19, 2025
- HNW clients · 89 to 79Mar 14, 2024 to Mar 19, 2025
- Individual clients · 51 to 61Mar 14, 2024 to Mar 19, 2025
- Pension plan clients · 4.0 to unsetMar 14, 2024 to Mar 19, 2025
- Pooled vehicle clients · 0.0 to unsetMar 14, 2024 to Mar 19, 2025
- Employees · 3 to 4Mar 14, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 19, 2025
- Discretionary RAUM · $220M to $244MMar 14, 2024 to Mar 19, 2025
- HNW RAUM · $195M to $210MMar 14, 2024 to Mar 19, 2025
- Individual RAUM · $16.5M to $20.7MMar 14, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $535,705 to $0Mar 14, 2024 to Mar 19, 2025
- Pension RAUM · $8.5M to $10.2MMar 14, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 14, 2024 to Mar 19, 2025
- RAUM · $221M to $244MMar 14, 2024 to Mar 19, 2025
- Accounts · 463 to 145Nov 16, 2023 to Mar 14, 2024
- Advisory employees · 0 to 1Nov 16, 2023 to Mar 14, 2024
- Charity clients · unset to 1.0Nov 16, 2023 to Mar 14, 2024
- Corporate clients · unset to 0.0Nov 16, 2023 to Mar 14, 2024
- HNW clients · 50 to 89Nov 16, 2023 to Mar 14, 2024
- Individual clients · 60 to 51Nov 16, 2023 to Mar 14, 2024
- Pension plan clients · unset to 4.0Nov 16, 2023 to Mar 14, 2024
- Pooled vehicle clients · unset to 0.0Nov 16, 2023 to Mar 14, 2024
- Financial planning clients · 101-250 to 0Nov 16, 2023 to Mar 14, 2024
- State-registered IARs · 0 to 1Nov 16, 2023 to Mar 14, 2024
- Discretionary RAUM · $180M to $220MNov 16, 2023 to Mar 14, 2024
- HNW RAUM · $149M to $195MNov 16, 2023 to Mar 14, 2024
- Individual RAUM · $24.5M to $16.5MNov 16, 2023 to Mar 14, 2024
Signals
2 dated events
- Madison Williams left Kaizen Financial Advisors, Llc for Avier Wealth Advisors (registered 2025-06-09)Apr 7, 2025 · Advisor changed firm · fact
- Kaizen Financial Advisors, Llc filed its initial SEC registration (Form ADV)Mar 28, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- ana@kaizenfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jasmine@kaizenfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kaizenteam@kaizenfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-321-0345reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-321-5800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-321-5801reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kaizen-financial-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- KAIZENFA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 425-321-5800reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- kaizenfa.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- kaizenfa.com/team-memberreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026