{"url":"https://nivawealth.com/firms/kaizen-retirement-plan-advisors-289238","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289238","regulatoryAum":155945222,"crd":"289238","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2317578","suffix":null,"lastName":"GLEAVY","firstName":"WILLIAM","middleName":"DANIEL"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-04-11","regulatoryAum":130939035,"clients":20,"employees":1,"offices":1},{"filedOn":"2025-02-10","regulatoryAum":118441974,"clients":23,"employees":1,"offices":1},{"filedOn":"2026-02-20","regulatoryAum":155945222,"clients":26,"employees":1,"offices":1}],"secFileNumber":"801-130196","legalName":"Kaizen Retirement Plan Advisors, LLC","displayName":"Kaizen Retirement Plan Advisors","slug":"kaizen-retirement-plan-advisors-289238","website":"https://kaizenrpa.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Massachusetts limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"10 May 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":155945222,"discretionary":46737285,"discretionaryAccounts":14,"nonDiscretionary":109207937,"nonDiscretionaryAccounts":12,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":20},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2,"fewerThan5":true,"regulatoryAum":1066209},{"label":"High-net-worth individuals","clients":3,"fewerThan5":true,"regulatoryAum":6492063},{"label":"Pension and profit-sharing plans","clients":21,"regulatoryAum":148386950}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Broadridge Business Process Outsourcing, LLC","shortName":"Broadridge Business Process Outsourcing","location":"Edgewood, NY","smaAssets":98453849}],"custodyNote":"Kaizen Retirement Plan Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Gleavy","title":"Managing Member/CCO","crd":"2317578"}],"ownership":[{"label":"William Gleavy","detail":"Managing member/cco in the 75% or more ownership band and a control person, since August 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"508-850-6401","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":95},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"20 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289238/PDF/289238.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Kaizen Retirement Plan Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Kaizen Retirement Plan Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Kaizen Retirement Plan Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Kaizen Retirement Plan Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Kaizen Retirement Plan Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Kaizen Retirement Plan Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Kaizen Retirement Plan Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Kaizen Retirement Plan Advisors?","answer":"Its phone number is 508-850-6401. Its website is kaizenrpa.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}