Kaizen Financial Advisors, LLC

Kaizen Financial Advisors, LLC is a wealth management firm founded in October 2010 by Laurie L. Klein, CFP®, ChFC®. The firm specializes in portfolio management, financial planning, tax planning, and personalized financial coaching services for high-net-worth individuals. Kaizen operates as a fee-based fiduciary investment advisor, acting in the best interests of its clients and not accepting brokerage commissions or other forms of compensation related to securities transactions. The firm offers a range of investment advisory services tailored to each client's financial circumstances, objectives, and needs. Services include individual retirement planning, tax planning, estate planning, employee benefits consulting, college savings planning, risk management, and business planning. Kaizen provides ongoing investment management services with discretionary authority to execute investment recommendations within client accounts. Kaizen typically manages client assets using model portfolios based on clients' risk tolerance and financial goals. The firm engages East Bay Investment Solutions for portfolio management support services. Clients are charged an annual asset-based fee, with rates ranging from 1.00% to 0.15% based on assets under management. The firm does not charge performance-based fees or engage in side-by-side management. Clients of Kaizen Financial Advisors have the flexibility to direct their investments, receive regular account reviews, and maintain custody of their assets with a qualified custodian. The firm does not receive compensation for client referrals and discloses no disciplinary information related to its advisors. Laurie L. Klein and Madison Williams, CRC®, are the key advisors at the firm, with Ms. Klein overseeing the supervision of Ms. Williams.