SEC 13F Intelligence

Managers / Q3 2023 · view latest →

Kaizen Financial Strategies

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

Reported Value
$118M
Q3 2023
Positions
112
Filings on Record
21
2019–present window
Filed
Oct 31, 2023
original filing

Summary

Kaizen Financial Strategies reported $118M in U.S.-listed holdings across 112 positions for Q3 2023.

Its largest position, AAPL, represents 9.5% of the portfolio.

Compared with Q2 2023, the fund opened 13 new positions and exited 16.

Portfolio Metrics

Turnover
+13.0%
vs prior filed quarter
Top-10 Concentration
+50.2%
share of reported value
Largest Position
+9.5%
Apple
New / Exited
13 / 16
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. 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: 55.8%Common Stock: 40.5%Closed-End Fund: 1.6%REIT: 1.5%ADR: 0.4%Other: 0.2%
  • ETP · 55.8% · $66M
  • Common Stock · 40.5% · $48M
  • Closed-End Fund · 1.6% · $2M
  • REIT · 1.5% · $2M
  • ADR · 0.4% · $442,806
  • Other · 0.2% · $218,833

Quarter-over-Quarter Changes full breakdown →

vs Q2 2023 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
SCHWAB STRATEGIC TRNEW+59.4K59.4K+$3M$3M
SCHWAB STRATEGIC TRNEW+25.4K25.4K+$1M$1M
SCHWAB STRATEGIC TRNEW+42.4K42.4K+$1M$1M
SCHWAB STRATEGIC TRNEW+20.0K20.0K+$1M$1M
VANGUARD INDEX FDSNEW+1.9K1.9K+$753,984$753,984
OKEONEOK INC NEWNEW+6.4K6.4K+$405,788$405,788
NFLXNETFLIX INCNEW+722722+$272,627$272,627
SELECT SECTOR SPDR TRNEW+7.6K7.6K+$258,080$258,080

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

Holdings — Q3 2023

36 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1SCHWAB STRATEGIC TRUS LCAP GR ETF · US AGGREGATE B · SCHWB FDT INT LG · INT-TRM U.S TRES · LONG TERM US · 5 10YR CORP BD · SCHWAB FDT US SC · SCHWB FDT EMK LG · SCHWAB FDT US BM · 1000 INDEX ETF26.04%$31M688.2K
2AAPLAPPLE INChistory →COM9.54%$11M66.0K
3SPDR S&P 500 ETF TRTR UNIT8.13%$10M22.5K
4VANGUARD SPECIALIZED FUNDSDIV APP ETF5.95%$7M45.3K
5GOOGALPHABET INCCAP STK CL C · CAP STK CL A4.07%$5M36.6K
6TSLATESLA INChistory →COM3.35%$4M15.9K
7BXBLACKSTONE INChistory →COM2.76%$3M30.5K
8NVDANVIDIA CORPORATIONhistory →COM2.49%$3M6.8K
9SPDR DOW JONES INDL AVERAGEUT SER 12.22%$3M7.9K
10MSFTMICROSOFT CORPhistory →COM2.07%$2M7.8K
11AMZNAMAZON COM INChistory →COM1.84%$2M17.1K
12XLCSELECT SECTOR SPDR TRTECHNOLOGY · SBI HEALTHCARE · COMMUNICATION1.80%$2M18.3K
13VANECK ETF TRUSTSEMICONDUCTR ETF1.57%$2M12.8K
14NDQINVESCO QQQ TRhistory →UNIT SER 11.50%$2M4.9K
15VANGUARD INDEX FDSTOTAL STK MKT · S&P 500 ETF SHS1.43%$2M6.4K
16CRMSALESFORCE INChistory →COM1.23%$1M7.2K
17ISHARES TRIBOXX INV CP ETF · CORE S&P500 ETF1.23%$1M10.8K
18ADBEADOBE INCCOM0.88%$1M2.0K
19NUVEEN MUN INCOME FD INCCOM0.78%$921,868107.2K
20PDIPIMCO DYNAMIC INCOME FDSHS0.74%$880,90051.0K
21BBYBEST BUY INCCOM0.60%$704,31910.1K
22STAGSTAG INDL INCCOM0.59%$703,04120.4K
23CATCATERPILLAR INCCOM0.57%$668,7722.5K
24VVISA INCCOM CL A0.56%$660,9032.9K
25LENLENNAR CORPCL A0.49%$582,5575.2K
26AMDADVANCED MICRO DEVICES INCCOM0.49%$577,7465.6K
27TMOTHERMO FISHER SCIENTIFIC INCCOM0.46%$541,3311.1K
28KLACKLA CORPCOM NEW0.45%$529,7521.2K
29AMATAPPLIED MATLS INCCOM0.43%$506,8523.7K
30AMPLIFY ETF TRBLOCKCHAIN LDR0.41%$484,89724.3K
31INVESCO EXCHANGE TRADED FD TS&P500 EQL TEC0.39%$467,29016.6K
32G7AGRUPO AEROPORTUARIO DEL CENTSPON ADR0.37%$442,8065.1K
33ORCLORACLE CORPCOM0.37%$433,5744.1K
34WPCWP CAREY INCCOM0.35%$413,6337.6K
35SPDR SER TRS&P HOMEBUILD0.34%$405,8215.3K
36OKEONEOK INC NEWCOM0.34%$405,7886.4K

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 ↗.