Kaizen Advisory, LLC (Wheaton)

Kaizen Advisory, LLC is a large advisory firm based in Wheaton. It manages $274.7 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Illinois.

Kaizen Advisory provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kaizen Advisory: assets under management

The assets under management (AUM) of Kaizen Advisory, LLC is $274.7 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 89% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $274.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $30.52 million each.

Investments

The firm invests in exchange traded securities the most. They account for 78% of the total AUM. The second-largest asset type is derivatives, which make up 20% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Kaizen Advisory, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kaizen Advisory serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of Kaizen Advisory is investment companies with 3 clients and $268.7 million of assets under management. Among the 8 most similar advisory firms, Kaizen Advisory has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $274.7 million for 12 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kaizen Advisory doesn't advise any private funds.

Careers at Kaizen Advisory, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Kaizen Advisory, LLC is owned by Dean Zayed. Thomas Richard Young joined the executive team most recently as the Managing Member, Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Richard Young	Managing member, chief compliance officer	1 May 2014	Other	824152
Dean Zayed	Owner	1 Mar 2015	75% - 100%	3267818

Based in Wheaton

The principal office where Kaizen Advisory, LLC performs its advisory services is located at 1745 S. Naperville Road, Wheaton, IL 60189, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 630-949-2070. The normal business hours are 9 am to 5 pm on Monday - Friday.