SourcingSourcing

KAIZEN FINANCIAL ADVISORS, LLC

C39
CRD 155353·SEC 801-115111·KIRKLAND, WA
AUM
$283.7M
$100M-$500M
Est. Revenue
$2.8M
@ 1% on AUM
Est. EBITDA
$851K
@ 30% margin
Est. Deal Value
$6.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KAIZEN FINANCIAL ADVISORS, LLC
CRD
155353
SEC file #
801-115111
EIN
300806696
DBA names
—

Economics

AUM
$283.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$121.4M → $283.7M▲ +134%
Client mix
Individuals High Net Worth80
Individuals Other70

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
KIRKLAND WA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
kaizenfa.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
KLEIN, LAURIE, LAVERNE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
KLEIN, LAURIE, LAVERNE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
KAIZENFA.COM
Rdap Domain Creation Date
2010-10-05T23:35:26Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001601708
Edgar Registered
Yes
Edgar Filing Count
4
Edgar First Filing Date
2014-03-04
Edgar Last Filing Date
2015-03-09
Edgar Form D Count
4
Edgar Form D Offerings
2015-03-092015-03-09 · 0001601708-15-000002
2015-02-192015-02-19 · 0001601708-15-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
4800 N. SCOTTSDALE RD.STE. 4000SCOTTSDALE, AZ 85251
Business
4800 N. SCOTTSDALE RD.STE. 4000SCOTTSDALE, AZ 85251
Edgar EIN
300806696
Edgar Recent Filings
D/A2015-03-09 · 0001601708-15-000002
D/A2015-02-19 · 0001601708-15-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-05T23:35:26Z
Rdap Domain Last Changed
2025-10-06T12:49:40Z
Rdap Nameservers
Ns29.domaincontrol.comNs30.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4478848
Trust Company Affiliate
No

People (2)

2
KLEIN, LAURIE, LAVERNE
IAR · Direct Owner · 87.5%
4478848
EMILY JANE BUSHONG
IAR
4550129