Kaizen Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, business succession planning, divorce planning, education planning, estate planning, and tax planning.
Kaizen Financial Advisors reports 150 clients. They include 80 high-net-worth individuals and 70 individual clients. Of its assets, 100.0% ($284M across 626 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 47% | 11% |
| High-net-worth individuals | 53% | 81% |
| Pension and profit-sharing plans | Fewer than 5 | 6% |
| Charitable organizations | Fewer than 5 | 2% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 70 | $32.1M | 11.3% | $459K |
| High-net-worth individuals | 80 | $230M | 81.2% | $2.88M |
| Pension and profit-sharing plans | Fewer than 5 | $15.9M | 5.6% | — |
| Charitable organizations | Fewer than 5 | $5.4M | 1.9% | — |
| Total | 150 | $284M | 100% | — |
- Clients
- 70
- Regulatory AUM
- $32.1M
- AUM share
- 11.3%
- Avg. per client
- $459K
- Clients
- 80
- Regulatory AUM
- $230M
- AUM share
- 81.2%
- Avg. per client
- $2.88M
- Clients
- Fewer than 5
- Regulatory AUM
- $15.9M
- AUM share
- 5.6%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $5.4M
- AUM share
- 1.9%
- Avg. per client
- —
Total
- Clients
- 150
- Regulatory AUM
- $284M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Kaizen Financial Advisors charges 0.15%–1.00% a year for its Wealth and Portfolio Management. The fee is billed in advance, is negotiable and has a $7,500 annual minimum. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-Alone Hourly Financial Advice
- Stand-alone advice on a limited topic is billed hourly: $250 an hour for administrative tasks, $400 an hour for higher-level consulting by a staff advisor representative, and $500 an hour for Laurie Klein.
Laurie Klein owns 75% or more of Kaizen Financial Advisors. The leadership team of Kaizen Financial Advisors includes Chief Compliance Officer Laurie Klein. It has 4 employees, 2 of them in advisory roles.
Leadership
- Laurie KleinManaging Member/Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
- Emily Jane Bushong
- Laurie Laverne Klein
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 soliciting firm
- Owns 75% or more of Kaizen Financial Advisors, LLC
Laurie Klein
Control person · since October 2010
Kaizen Financial Advisors’ regulatory assets grew from $202M (March 2021) to $284M (March 2026); clients were 150 in both filings and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $284M | 150 | 4 | 2 |
| March 2025 | $244M | 140 | 4 | 1 |
| March 2024 | $221M | 145 | 3 | 1 |
| March 2023 | $182M | 110 | 3 | 1 |
| March 2022 | $228M | 122 | 4 | 1 |
| March 2021 | $202M | 147 | 4 | 1 |
Besides its headquarters, Kaizen Financial Advisors has 1 office (1 private residence, listed without an address), with 1 listed address in Washington.
Washington · 1 listed address
- 4030 Lake Washington BLVD, Suite 308, KirklandHQ
Other business names
Kaizen Financial Advisors has reported 1 other business name to the SEC.
- Kaizen Financial Advisors
Contact and registration details
- Legal name
- Kaizen Financial Advisors, LLC
- Headquarters
- 4030 Lake Washington BLVD, Suite 308, Kirkland, WA 98033
- Website
- kaizenfa.com
- Phone
- 425-321-5800
- @kaizen-financial-advisors
- SEC file
- 801-115111
- Founded
- 2010
- Structure
- Washington LLC
- Fiscal year end
- December
Kaizen Financial Advisors uses Charles Schwab ($268M) as custodian for its separately managed accounts. Kaizen Financial Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $268M100%
At year end, Kaizen Financial Advisors’ separately managed accounts were mostly in funds (86%) and stocks (12%).
What the accounts hold
- Stocks12%
- Funds86%
- Cash2%
How many clients does Kaizen Financial Advisors have?
Kaizen Financial Advisors has 150 clients and manages $284 million for them, as of March 2026. They include 80 high-net-worth individuals and 70 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does Kaizen Financial Advisors offer?
Kaizen Financial Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, business succession planning, divorce planning, education planning, estate planning, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Kaizen Financial Advisors charge?
Kaizen Financial Advisors charges 0.15%–1.00% a year for its Wealth and Portfolio Management. The fee is billed in advance, is negotiable and has a $7,500 annual minimum.
Source: KAIZEN FINANCIAL ADVISORS ADV 2A MARCH 2023, filed 25 March 2026
Which custodians does Kaizen Financial Advisors use?
Kaizen Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $268M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026
How many financial advisors does Kaizen Financial Advisors have?
Kaizen Financial Advisors has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Kaizen Financial Advisors invest in?
At the end of its last fiscal year, Kaizen Financial Advisors’ separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Kaizen Financial Advisors?
Kaizen Financial Advisors’ direct owner is Laurie Klein (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does Kaizen Financial Advisors get paid?
Kaizen Financial Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Kaizen Financial Advisors?
Kaizen Financial Advisors’ main office is at 4030 Lake Washington BLVD, Suite 308, Kirkland, WA 98033. Its phone number is 425-321-5800. Its website is kaizenfa.com.