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 Strategies, LLC
Latest filing Mar 3, 2026
First filing on the tape Oct 2, 2018 · 28 filings
SEC status approved since Nov 2, 2018
RAUM
$287M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$276M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$57.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$287M as of Mar 3, 2026
Mar 7, 2019$74.9M then
HNW client RAUM$133M as of Mar 3, 2026
Mar 7, 2019$17.7M then
State-registered IARs (5.B.3)5 as of Mar 3, 2026
Mar 7, 20194 then
Employees (5.A)5 as of Mar 3, 2026
Mar 7, 20194 then
Private funds: no history
RAUM +22% over the last fiscal year+27% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $57.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $383,323derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $287MreportedItem 5.I
- Custody
- $53.2M, 149 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$144M50%
- High-net-worth individuals$133M46%
- Charitable organizations$8.3M2.9%
- Corporations and businesses$2.6M0.9%
- Individual clients
- 229reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 749reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $2.0M sponsored, $0 managedreported
- Custody of client assets
- $53.2M for 149 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Saul Richard Greene | Pleasanton, Ca | Nov 2, 2018 | 24 y | 2 |
| John Antone Stachnick | Pleasanton, Ca | Nov 2, 2018 | 21 y | 1 |
| Iftikhar Mahmud AhmedCertified Financial Planner | Pleasanton, Ca | Nov 2, 2018 | 12 y | 1 |
| Saadia Shakur AhmedCertified Financial Planner | Pleasanton, Ca | Nov 2, 2018 | 28 y | 1 |
| Zaineb Sumayya Sohail | Pleasanton, Ca | Dec 13, 2021 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Saul Richard Greene from Waddell & ReedNov 2, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- John Antone Stachnick from Waddell & ReedNov 2, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Iftikhar Mahmud Ahmed from Waddell & ReedNov 2, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Saadia Shakur Ahmed from Waddell & ReedNov 2, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Waddell & ReedNov 12, 2018 · Cupertino, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mahmud Iftikhar Ahmed · Managing Membercontrolsince 11/2018 · owns 50% to 75%
- Shakur Saadia Ahmed · Managing Membercontrolsince 11/2018 · owns 50% to 75%
- Antone John Stachnick · Chief Compliance Officersince 11/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 715 to 749Mar 24, 2025 to Mar 3, 2026
- HNW clients · 44 to 55Mar 24, 2025 to Mar 3, 2026
- Individual clients · 238 to 229Mar 24, 2025 to Mar 3, 2026
- HQ city · CAMPBELL to PLEASANTONMar 24, 2025 to Mar 3, 2026
- Discretionary RAUM · $233M to $285MMar 24, 2025 to Mar 3, 2026
- HNW RAUM · $102M to $133MMar 24, 2025 to Mar 3, 2026
- Individual RAUM · $122M to $144MMar 24, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $1.8M to $1.9MMar 24, 2025 to Mar 3, 2026
- RAUM · $234M to $287MMar 24, 2025 to Mar 3, 2026
- Wrap assets (sponsor) · $318,791 to $2.0MMar 24, 2025 to Mar 3, 2026
- Accounts · 651 to 715May 7, 2024 to Mar 24, 2025
- HNW clients · 47 to 44May 7, 2024 to Mar 24, 2025
- Individual clients · 218 to 238May 7, 2024 to Mar 24, 2025
- Employees · 6 to 5May 7, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 0May 7, 2024 to Mar 24, 2025
- Discretionary RAUM · $181M to $233MMay 7, 2024 to Mar 24, 2025
- HNW RAUM · $84.6M to $102MMay 7, 2024 to Mar 24, 2025
- Individual RAUM · $92.5M to $122MMay 7, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $1.4M to $1.8MMay 7, 2024 to Mar 24, 2025
- RAUM · $183M to $234MMay 7, 2024 to Mar 24, 2025
- Wrap assets (sponsor) · $0 to $318,791May 7, 2024 to Mar 24, 2025
- Assets in custody · $10.8M to $53.2MMar 18, 2024 to May 7, 2024
- Accounts · 625 to 651Feb 20, 2023 to Mar 18, 2024
- HNW clients · 48 to 47Feb 20, 2023 to Mar 18, 2024
- Individual clients · 212 to 218Feb 20, 2023 to Mar 18, 2024
- Employees · 7 to 6Feb 20, 2023 to Mar 18, 2024
- Discretionary RAUM · $140M to $181MFeb 20, 2023 to Mar 18, 2024
- HNW RAUM · $69.9M to $84.6MFeb 20, 2023 to Mar 18, 2024
- Individual RAUM · $71.3M to $92.5MFeb 20, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $1.5M to $1.4MFeb 20, 2023 to Mar 18, 2024
- RAUM · $141M to $183MFeb 20, 2023 to Mar 18, 2024
- Accounts · 593 to 625Jan 26, 2022 to Feb 20, 2023
- HNW clients · 41 to 48Jan 26, 2022 to Feb 20, 2023
- Individual clients · 209 to 212Jan 26, 2022 to Feb 20, 2023
- Employees · 8 to 7Jan 26, 2022 to Feb 20, 2023
- Discretionary RAUM · $175M to $140MJan 26, 2022 to Feb 20, 2023
- HNW RAUM · $90.1M to $69.9MJan 26, 2022 to Feb 20, 2023
- Individual RAUM · $86.5M to $71.3MJan 26, 2022 to Feb 20, 2023
- Non-discretionary RAUM · $1.2M to $1.5MJan 26, 2022 to Feb 20, 2023
- RAUM · $177M to $141MJan 26, 2022 to Feb 20, 2023
Signals
1 dated events
- Kaizen Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Oct 2, 2018 · 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 phone
- 408-819-9010reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/18979364/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- KFSTRATEGIES.USreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (408) 819-9010reportedpublic record, Form ADV, Mar 3, 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
- $57.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026