Kaizen Retirement Plan Advisors provides portfolio management for individuals and small businesses, pension consulting, and educational seminars.
Kaizen Retirement Plan Advisors reports 26 clients. They include 21 pension and profit-sharing plans, 3 high-net-worth individuals, and 2 individual clients. Of its assets, 30.0% ($46.7M across 14 accounts) are managed with discretion; $109M across 12 accounts are not. It advised 20 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 8% | <1% |
| High-net-worth individuals | 12% | 4% |
| Pension and profit-sharing plans | 81% | 95% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | $1.07M | 0.7% | $533K |
| High-net-worth individuals | Fewer than 5 | $6.49M | 4.2% | $2.16M |
| Pension and profit-sharing plans | 21 | $148M | 95.2% | $7.07M |
| Total | 26 | $156M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $1.07M
- AUM share
- 0.7%
- Avg. per client
- $533K
- Clients
- Fewer than 5
- Regulatory AUM
- $6.49M
- AUM share
- 4.2%
- Avg. per client
- $2.16M
- Clients
- 21
- Regulatory AUM
- $148M
- AUM share
- 95.2%
- Avg. per client
- $7.07M
Total
- Clients
- 26
- Regulatory AUM
- $156M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 20
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Kaizen Retirement Plan Advisors is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
William Gleavy owns 75% or more of Kaizen Retirement Plan Advisors. It has 1 employee.
Staff
- 1 employee
- 1 in advisory functions
- Owns 75% or more of Kaizen Retirement Plan Advisors, LLC
William Gleavy
Control person · since August 2017
Kaizen Retirement Plan Advisors’ regulatory assets grew from $131M (April 2024) to $156M (February 2026); clients rose from 20 to 26 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Feb 2026February 2026 | $156M | 26 | 1 | 1 |
| Feb 2025February 2025 | $118M | 23 | 1 | 1 |
| Apr 2024April 2024 | $131M | 20 | 1 | 1 |
Besides its headquarters, Kaizen Retirement Plan Advisors has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Kaizen Retirement Plan Advisors, LLC
- Headquarters
- Not reported
- Website
- kaizenrpa.com
- Phone
- 508-850-6401
- SEC file
- 801-130196
- Structure
- Massachusetts LLC
- Fiscal year end
- December
Kaizen Retirement Plan Advisors’ named custodian for separately managed accounts is Broadridge Business Process Outsourcing ($98.5M). Kaizen Retirement Plan Advisors does not have custody of client assets.
- Broadridge Business Process OutsourcingBroadridge Business Process Outsourcing, LLC · Edgewood, NY · $98.5M100%
At year end, Kaizen Retirement Plan Advisors’ separately managed accounts were mostly in funds (95%).
What the accounts hold
- Stocks1%
- Funds95%
- Bonds3%
- Cash1%
How many clients does Kaizen Retirement Plan Advisors have?
Kaizen Retirement Plan Advisors has 26 clients and manages $156 million for them, as of February 2026. They include 21 pension and profit-sharing plans, 3 high-net-worth individuals, and 2 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 February 2026
What services does Kaizen Retirement Plan Advisors offer?
Kaizen Retirement Plan Advisors provides portfolio management for individuals and small businesses, pension consulting, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Kaizen Retirement Plan Advisors use?
Kaizen Retirement Plan Advisors’ separately managed account assets are held at Broadridge Business Process Outsourcing, LLC (Edgewood, NY), with $98.5M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 February 2026
How many financial advisors does Kaizen Retirement Plan Advisors have?
Kaizen Retirement Plan Advisors has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 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 Retirement Plan Advisors invest in?
At the end of its last fiscal year, Kaizen Retirement Plan Advisors’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 3% investment grade corporate bonds, 1% exchange-traded equities and 1% 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 Retirement Plan Advisors?
Kaizen Retirement Plan Advisors’ direct owner is William Gleavy (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 20 February 2026
How does Kaizen Retirement Plan Advisors get paid?
Kaizen Retirement Plan 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 Retirement Plan Advisors?
Its phone number is 508-850-6401. Its website is kaizenrpa.com.