SEC 13F Intelligence

Managers / Q3 2022 · view latest →

Kaizen Financial Strategies

CIK 0001842013 · 2105 SOUTH BASCOM AVE, SUITE 295, CAMPBELL, CA, 95008 · 408-819-9010

Reported Value
$99M
Q3 2022
Positions
117
Filings on Record
21
2019–present window
Filed
Oct 19, 2022
original filing

Summary

Kaizen Financial Strategies reported $99M in U.S.-listed holdings across 117 positions for Q3 2022.

Its largest position, SCHG, represents 17.2% of the portfolio.

Compared with Q2 2022, the fund opened 19 new positions and exited 22.

Portfolio Metrics

Turnover
+12.7%
vs prior filed quarter
Top-10 Concentration
+53.4%
share of reported value
Largest Position
+17.2%
Schwab Strategic Tr
New / Exited
19 / 22
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’20: $90MQ4 ’20Q1 ’21: $105MQ3 ’21: $124MQ4 ’21: $134MQ4 ’21Q1 ’22: $128MQ2 ’22: $101MQ3 ’22: $99MQ3 ’22Q4 ’22: $101MQ1 ’23: $101MQ2 ’23: $117MQ2 ’23Q3 ’23: $118MQ4 ’23: $132MQ1 ’24: $147MQ1 ’24Q2 ’24: $160MQ3 ’24: $172MQ4 ’24: $177MQ4 ’24Q1 ’25: $173MQ2 ’25: $197MQ3 ’25: $221MQ3 ’25Q4 ’25: $227MQ1 ’26: $236Mfilingsflow.com

Portfolio Composition

By security type
ETP: 48.9%Common Stock: 45.1%Closed-End Fund: 2.9%REIT: 2.8%MLP: 0.4%ADR: 0.0%
  • ETP · 48.9% · $48M
  • Common Stock · 45.1% · $44M
  • Closed-End Fund · 2.9% · $3M
  • REIT · 2.8% · $3M
  • MLP · 0.4% · $369,000
  • ADR · 0.0% · $43,000

Quarter-over-Quarter Changes full breakdown →

vs Q2 2022 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
SCHRSCHWAB STRATEGIC TRNEW+40.3K40.3K+$2M$2M
SCHQSCHWAB STRATEGIC TRNEW+35.7K35.7K+$1M$1M
SDYSPDR SER TRNEW+7.7K7.7K+$863,000$863,000
MRNAMODERNA INCNEW+2.5K2.5K+$297,000$297,000
CAHCARDINAL HEALTH INCNEW+4.3K4.3K+$287,000$287,000
NFLXNETFLIX INCNEW+1.2K1.2K+$286,000$286,000
UNHUNITEDHEALTH GROUP INCNEW+532532+$269,000$269,000
DGIIDIGI INTL INCNEW+7.5K7.5K+$259,000$259,000

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2022

88 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1SCHGSCHWAB STRATEGIC TRUS LCAP GR ETF · 1 5YR CORP BD · 1000 INDEX ETF · INT-TRM U.S TRES · US AGGREGATE B · LONG TERM US · SCHWB FDT INT LG · SHT TM US TRES · US SML CAP ETF · US MID-CAP ETF17.15%$17M397.2K
2AAPLAPPLE INChistory →COM9.65%$10M68.9K
3SPYSPDR S&P 500 ETF TRhistory →TR UNIT4.94%$5M13.6K
4GOOGALPHABET INCCAP STK CL C · CAP STK CL A4.27%$4M43.9K
5XLVSELECT SECTOR SPDR TRSBI HEALTHCARE · TECHNOLOGY · FINANCIAL · COMMUNICATION · SBI CONS DISCR · RL EST SEL SEC3.40%$3M51.2K
6VTIVANGUARD INDEX FDShistory →TOTAL STK MKT3.26%$3M17.9K
7SDYSPDR SER TRPRTFLO S&P500 VL · S&P DIVID ETF · COMP SOFTWARE · S&P HOMEBUILD3.05%$3M58.0K
8SMHVANECK ETF TRUSTSEMICONDUCTR ETF · OIL SERVICES ETF · AGRIBUSINESS ETF · RARE EARTH/STRTG · FALLEN ANGEL HG2.89%$3M27.4K
9DIASPDR DOW JONES INDL AVERAGEhistory →UT SER 12.42%$2M8.3K
10TDTFFLEXSHARES TRhistory →IBOXX 5YR TRGT2.42%$2M101.9K
11BXBLACKSTONE INChistory →COM2.34%$2M27.5K
12IVVISHARES TRIBOXX INV CP ETF · CORE S&P500 ETF · RUSSELL 2000 ETF · GL CLEAN ENE ETF2.32%$2M24.1K
13AMZNAMAZON COM INChistory →COM2.30%$2M20.0K
14MSFTMICROSOFT CORPhistory →COM2.13%$2M9.0K
15NVDANVIDIA CORPORATIONhistory →COM1.80%$2M14.6K
16CRMSALESFORCE INChistory →COM1.75%$2M12.0K
17TSLATESLA INChistory →COM1.72%$2M6.4K
18QQQINVESCO QQQ TRhistory →UNIT SER 11.64%$2M6.1K
19NMINUVEEN MUN INCOME FD INChistory →COM1.37%$1M155.5K
20GLDSPDR GOLD TRhistory →GOLD SHS1.34%$1M8.6K
21METAMETA PLATFORMS INChistory →CL A1.32%$1M9.6K
22VIGVANGUARD SPECIALIZED FUNDShistory →DIV APP ETF1.25%$1M9.2K
23PDIPIMCO DYNAMIC INCOME FDhistory →SHS1.07%$1M54.4K
24AMATAPPLIED MATLS INChistory →COM1.03%$1M12.4K
25BBYBEST BUY INCCOM0.78%$767,00012.1K
26ADBEADOBE SYSTEMS INCORPORATEDCOM0.77%$759,0002.8K
27PGXINVESCO EXCH TRADED FD TR IIPFD ETF · S&P500 LOW VOL0.71%$697,00042.9K
28RSPTINVESCO EXCHANGE TRADED FD TS&P500 EQL TEC · S&P500 EQL UTL0.67%$664,0004.3K
29METMETLIFE INCCOM0.66%$656,00010.8K
30URIUNITED RENTALS INCCOM0.66%$651,0002.4K
31VVISA INCCOM CL A0.66%$651,0003.7K
32STAGSTAG INDL INCCOM0.63%$619,00021.8K
33TTDTHE TRADE DESK INCCOM CL A0.63%$617,00010.3K
34PWRQUANTA SVCS INCCOM0.61%$599,0004.7K
35CATCATERPILLAR INCCOM0.59%$581,0003.5K
36FNFFIDELITY NATIONAL FINANCIALFNF GROUP COM0.54%$534,00014.7K
37TMOTHERMO FISHER SCIENTIFIC INCCOM0.52%$516,0001.0K
38TWITTER INCCOM0.52%$512,00011.7K
39WPCWP CAREY INCCOM0.50%$495,0007.1K
40XIFRNEXTERA ENERGY PARTNERS LPCOM UNIT PART IN0.46%$456,0006.3K
41SPOTSPOTIFY TECHNOLOGY S ASHS0.42%$416,0004.8K
42BLOKAMPLIFY ETF TRBLOCKCHAIN LDR0.42%$411,00022.2K
43KLACKLA CORPCOM NEW0.40%$393,0001.3K
44LISTED FD TRWAHED FTSE ETF0.39%$389,00011.6K
45ABBVABBVIE INCCOM0.39%$385,0002.9K
46IPINTERNATIONAL PAPER COCOM0.38%$371,00011.7K
47MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP0.37%$369,0007.8K
48AMTAMERICAN TOWER CORP NEWCOM0.36%$352,0001.6K
49INTCINTEL CORPCOM0.36%$352,00013.6K
50VTIPVANGUARD MALVERN FDSSTRM INFPROIDX0.34%$335,0007.0K
51AMDADVANCED MICRO DEVICES INCCOM0.34%$334,0005.3K
52BACBK OF AMERICA CORPCOM0.34%$332,00011.0K
53MSMORGAN STANLEYCOM NEW0.32%$315,0004.0K
54MRNAMODERNA INCCOM0.30%$297,0002.5K
55QCOMQUALCOMM INCCOM0.30%$295,0002.6K
56LENLENNAR CORPCL A0.29%$287,0003.9K
57CAHCARDINAL HEALTH INCCOM0.29%$287,0004.3K
58NFLXNETFLIX INCCOM0.29%$286,0001.2K
59INTUINTUITCOM0.29%$284,000732
60NMZNUVEEN MUN HIGH INCOME OPPORCOM0.28%$279,00027.1K
61TIDAL ETF TRFOLIOBEYOND RISI0.28%$278,0008.8K
62LUVSOUTHWEST AIRLS COCOM0.28%$274,0008.9K
63UNHUNITEDHEALTH GROUP INCCOM0.27%$269,000532
64DGIIDIGI INTL INCCOM0.26%$259,0007.5K
65SCHWSCHWAB CHARLES CORPCOM0.26%$257,0003.6K
66HONHONEYWELL INTL INCCOM0.26%$256,0001.5K
67WORLD WRESTLING ENTMT INCCL A0.26%$255,0003.6K
68SNOWSNOWFLAKE INCCL A0.26%$252,0001.5K
69LANDGLADSTONE LD CORPCOM0.25%$251,00013.8K
70HRBBLOCK H & R INCCOM0.25%$250,0005.9K
71BRK/BBERKSHIRE HATHAWAY INC DELCL B NEW0.24%$241,000904
72CUBECUBESMARTCOM0.24%$238,0005.9K
73SPGSIMON PPTY GROUP INC NEWCOM0.24%$237,0002.6K
74TMUST-MOBILE US INCCOM0.24%$235,0001.8K
75CRWDCROWDSTRIKE HLDGS INCCL A0.23%$229,0001.4K
76LAM RESEARCH CORPCOM0.23%$227,000620
77PYPLPAYPAL HLDGS INCCOM0.23%$224,0002.6K
78PMTPENNYMAC MTG INVT TRCOM0.22%$215,00018.2K
79FRTFEDERAL RLTY INVT TR NEWSH BEN INT NEW0.21%$206,0002.3K
80QCLNFIRST TR EXCHANGE-TRADED FDNAS CLNEDG GREEN0.21%$204,0003.6K
81CDNSCADENCE DESIGN SYSTEM INCCOM0.21%$204,0001.2K
82INMDINMODE LTDSHS0.20%$201,0006.9K
83XAWFXALLIANCEBERNSTEIN GLOBAL HIGCOM0.16%$162,00018.2K
84MFAMFA FINL INCCOM0.11%$113,00014.5K
85VISNCOMMSCOPE HLDG CO INCCOM0.09%$92,00010.0K
86GNWGENWORTH FINL INCCOM CL A0.06%$58,00016.6K
87SOFISOFI TECHNOLOGIES INCCOM0.05%$49,00010.0K
88NOKNOKIA CORPSPONSORED ADR0.04%$43,00010.0K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$236M174May 1, 202613F-HRchanges · EDGAR ↗
Q4 2025$227M165Jan 21, 202613F-HRchanges · EDGAR ↗
Q3 2025$221M151Nov 12, 202513F-HRchanges · EDGAR ↗
Q2 2025$197M150Aug 8, 202513F-HRchanges · EDGAR ↗
Q1 2025$173M139Apr 9, 202513F-HRchanges · EDGAR ↗
Q4 2024$177M133Feb 14, 202513F-HRchanges · EDGAR ↗
Q3 2024$172M137Nov 4, 202413F-HRchanges · EDGAR ↗
Q2 2024$160M133Aug 5, 202413F-HRchanges · EDGAR ↗
Q1 2024$147M130May 3, 202413F-HRchanges · EDGAR ↗
Q4 2023$132M118Jan 18, 202413F-HRchanges · EDGAR ↗
Q3 2023$118M112Oct 31, 202313F-HRchanges · EDGAR ↗
Q2 2023$117M115Aug 8, 202313F-HRchanges · EDGAR ↗
Q1 2023$101M101May 11, 202313F-HRchanges · EDGAR ↗
Q4 2022$101M121Jan 19, 202313F-HRchanges · EDGAR ↗
Q3 2022$99M117Oct 19, 202213F-HRchanges · EDGAR ↗
Q2 2022$101M120Jul 18, 202213F-HRchanges · EDGAR ↗
Q1 2022$128M131May 6, 202213F-HRchanges · EDGAR ↗
Q4 2021$134M140Jan 26, 202213F-HRchanges · EDGAR ↗
Q3 2021$124M145Nov 12, 202113F-HRchanges · EDGAR ↗
Q1 2021$105M137May 28, 202113F-HRchanges · EDGAR ↗
Q4 2020$90M123Feb 3, 202113F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.