Kaizen Financial Strategies

RIA/Wealth

Kaizen Financial Strategies is a RIA/Wealth based in Kirkland, WA led by Laurie Laverne Klein, reporting $244.2M in AUM as of Q3 2025 with 57% ETF concentration and 50% concentrated in top 10 holdings.

Managing PartnerLaurie Laverne Klein

Portfolio Value: $220.7M
Positions: 150
Top Holding: SPY at 8.39%
Last Reported: Q3 2025

Address4030 Lake Washington Blvd, Suite 308, Kirkland, WA, 98033, United States

Top Holdings

Largest long holdings in Kaizen Financial Strategies's portfolio (50% of total portfolio)

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Holding	Sector	Position	Weight	Traded	Ownership	Owned Since
1 SPDR S&P 500 ETF Trust SPY	ETF ETF	$18.5M	8.39%	+$505.4K Bought	— 27.6K shares	Q3 2021 Held for 4y 2m
2 Schwab U.S. Large-Cap Growth SCHG	ETF ETF	$17.7M	8.04%	+$402.6K Bought	— 547.2K shares	Q3 2021 Held for 4y 2m
3 Apple AAPL	Consumer Electronics Technology	$16.5M	7.50%	-$129.8K Sold	0.00% 61.3K shares	Q3 2021 Held for 4y 2m
4 CGDV Capital Group Dividend Value CGDV	ETF ETF	$12.3M	5.57%	+$1.8M Bought	— 290.3K shares	Q2 2024 Held for 1y 5m
5 Nvidia NVDA	Semiconductors Technology	$10.6M	4.80%	-$398.7K Sold	0.00% 56.4K shares	Q3 2021 Held for 4y 2m
6 VCRB Vanguard Core Bond VCRB	ETF ETF	$10.0M	4.54%	+$410.7K Bought	— 128.0K shares	Q2 2024 Held for 1y 5m
7 Schwab 5-10 Year Corporate Bond SCHI	ETF ETF	$7.7M	3.49%	+$498.9K Bought	— 335.0K shares	Q3 2023 Held for 2y 2m
8 Alphabet Inc. GOOG	Internet Content & Information Communication Services	$6.4M	2.91%	-$292.2K Sold	0.00% 22.5K shares	Q3 2021 Held for 4y 2m
9 JIRE JPMorgan International Research Enhanced Equity JIRE	ETF ETF	$5.6M	2.53%	+$661.2K Bought	— 75.3K shares	Q1 2025 Held for 8 months
10 Amazon AMZN	Specialty Retail Consumer Cyclical	$5.0M	2.27%	-$195.2K Sold	0.00% 20.6K shares	Q3 2021 Held for 4y 2m

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Changes

Portfolio activity, position movements, and quarter-over-quarter changes in Kaizen Financial Strategies's latest filing

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Market Value

$220.7M

Prior: $196.0M

Q/Q Change

+12.56%

+$24.6M

Net Flows % of MV

-0.185%

Turnover Ratio

7.23%

New Purchases

13 stocks

$7.9M

Added To

49 stocks

+$6.6M

Sold Out Of

16 stocks

$6.2M

Reduced Holdings

71 stocks

-$8.7M

Increased Positions

Position	Shares Δ	Change
1 QQQI NEOS Nasdaq 100 High Income ETF QQQI	New	0 → 33.8K +$1.8M
2 NEOS S&P 500 High Income SPYI	New	0 → 35.0K +$1.8M
3 Defiance Quantum QTUM	New	0 → 8.4K +$929.3K
4 American Express AXP	New	0 → 1.7K +$637.1K
5 UGL ProShares Ultra Gold UGL	New	0 → 10.2K +$488.9K

Decreased Positions

Position	Shares Δ	Change
1 XYLD Global X S&P 500 Covered Call XYLD	Sold	36.0K → 0 −$1.4M
2 Global X NASDAQ-100 Covered Call ETF QYLD	Sold	74.1K → 0 −$1.2M
3 Aris Water Solutions ARIS	Sold	20.3K → 0 −$479.8K
4 iShares 20+ Year Treasury Bond TLT	Sold	3.5K → 0 −$311.6K
5 Fiserv FI	Sold	1.7K → 0 −$299.6K

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Analytics

Portfolio insights and performance metrics for Kaizen Financial Strategies

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Sector Allocation

ETF

56.60%

Technology

17.50%

Communication Services

5.40%

Financial Services

4.00%

Consumer Cyclical

3.90%

Industrials

2.50%

Healthcare

2.00%

Utilities

1.30%

Energy

0.80%

Basic Materials

0.80%

Real Estate

0.60%

Consumer Defensive

0.40%

Market Cap Distribution

Mega Cap (> $200B)

28.94%

Large Cap ($10B - $200B)

7.79%

Mid Cap ($2B - $10B)

2.75%

N/A (ETF or Unknown)

60.53%

Portfolio Concentration

Top 10 Holdings %

50.04%

Top 20 Holdings %

64.49%

Top 50 Holdings %

81.34%

Top 100 Holdings %

93.8%