Investment adviser · CRD 171520
KAIZEN ADVISORY, LLC
Investment adviser filing (IA)
WHEATON, IL, United States · Form ADV filed Mar 1, 2019
- Regulatory AUM
- $275M Form ADV · Item 5.F
- Client accounts
- 9 Accounts, not individual clients
- Employees
- 3 Reported in this filing
- Advisory professionals
- 3 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Investment companies | 3 | $268,700,000 | 97.8% |
| High-net-worth individuals | 9 | $6,000,000 | 2.2% |
| Individuals | Fewer than 5 | Not reported | Not reported |
| Banks & thrifts | Fewer than 5 | Not reported | Not reported |
| Retirement plans | Fewer than 5 | Not reported | Not reported |
| Charities | Fewer than 5 | Not reported | Not reported |
| Government entities | Fewer than 5 | Not reported | Not reported |
| Other investment advisers | Fewer than 5 | Not reported | Not reported |
| Insurance companies | Fewer than 5 | Not reported | Not reported |
| Sovereign wealth & foreign institutions | Fewer than 5 | Not reported | Not reported |
| Corporations & businesses | Fewer than 5 | Not reported | Not reported |
Filing source
Form ADV 1283995 · Mar 1, 2019 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Mar 1, 2019. View historical filings
Reported services
Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Selection of other advisers
Compensation
Percentage of assets
Principal office
1745 S. NAPERVILLE ROAD, SUITE 103WHEATON, IL, 60189, United States
CRD 171520
Filing source
Form ADV 1283995 · Mar 1, 2019 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.