Filed: 1/19/2023ACC: 0001085146-23-000189
📋 What this filing means
KAIZEN FINANCIAL STRATEGIES filed this quarterly 13F‑HR report disclosing 121 equity positions with a total reported market value of $101.17M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
121
Positions
$101.17M
Total AUM (reported)
1.52M
Total Shares
Allocation by class
COM$38.53M38.1%
TR UNIT$5.01M5.0%
UT SER 1$3.58M3.5%
TOTAL STK MKT$3.40M3.4%
US LCAP GR ETF$3.29M3.3%
INT-TRM U.S TRES$3.24M3.2%
CAP STK CL C$2.76M2.7%
Portfolio Concentration
Top 3$17.80M17.6%
4–10$19.79M19.6%
11–25$24.40M24.1%
Rest$39.18M38.7%
Top 3 weight
17.6%
Top 10 weight
37.2%
Voting Authority Distribution
Total shares with voting rights: 1.52M
Sole
Full voting authority
0.00
shares
% of voting shares0.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.52M
shares
% of voting shares100.0%
Investment Discretion (by position count)
Sole121
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings121
Rows:
APPLE INC
SOLEShares68.39K
TypeSH
Market value$9.22M
9.11%
Sole
0.00
Shared
0.00
None
68.39K
SPDR S&P 500 ETF TR
SOLEShares12.57K
TypeSH
Market value$5.01M
4.95%
Sole
0.00
Shared
0.00
None
12.57K
SPDR DOW JONES INDL AVERAGE
SOLEShares10.43K
TypeSH
Market value$3.58M
3.54%
Sole
0.00
Shared
0.00
None
10.43K
VANGUARD INDEX FDS
SOLEShares16.99K
TypeSH
Market value$3.40M
3.36%
Sole
0.00
Shared
0.00
None
16.99K
SCHWAB STRATEGIC TR
SOLEShares56.55K
TypeSH
Market value$3.29M
3.25%
Sole
0.00
Shared
0.00
None
56.55K
SCHWAB STRATEGIC TR
SOLEShares64.43K
TypeSH
Market value$3.24M
3.20%
Sole
0.00
Shared
0.00
None
64.43K
ALPHABET INC
SOLEShares29.79K
TypeSH
Market value$2.76M
2.73%
Sole
0.00
Shared
0.00
None
29.79K
SCHWAB STRATEGIC TR
SOLEShares65.69K
TypeSH
Market value$2.53M
2.50%
Sole
0.00
Shared
0.00
None
65.69K
BLACKSTONE INC
SOLEShares28.41K
TypeSH
Market value$2.42M
2.39%
Sole
0.00
Shared
0.00
None
28.41K
NVIDIA CORPORATION
SOLEShares12.70K
TypeSH
Market value$2.15M
2.12%
Sole
0.00
Shared
0.00
None
12.70K
MICROSOFT CORP
SOLEShares8.41K
TypeSH
Market value$2.01M
1.99%
Sole
0.00
Shared
0.00
None
8.41K
INVESCO QQQ TR
SOLEShares6.79K
TypeSH
Market value$1.91M
1.89%
Sole
0.00
Shared
0.00
None
6.79K
SPDR SER TR
SOLEShares46.18K
TypeSH
Market value$1.90M
1.88%
Sole
0.00
Shared
0.00
None
46.18K
AMAZON COM INC
SOLEShares19.09K
TypeSH
Market value$1.87M
1.85%
Sole
0.00
Shared
0.00
None
19.09K
SCHWAB STRATEGIC TR
SOLEShares38.60K
TypeSH
Market value$1.83M
1.81%
Sole
0.00
Shared
0.00
None
38.60K
SCHWAB STRATEGIC TR
SOLEShares38.61K
TypeSH
Market value$1.82M
1.80%
Sole
0.00
Shared
0.00
None
38.61K
FLEXSHARES TR
SOLEShares70.04K
TypeSH
Market value$1.68M
1.66%
Sole
0.00
Shared
0.00
None
70.04K
SCHWAB STRATEGIC TR
SOLEShares49.48K
TypeSH
Market value$1.54M
1.52%
Sole
0.00
Shared
0.00
None
49.48K
SCHWAB STRATEGIC TR
SOLEShares40.69K
TypeSH
Market value$1.53M
1.51%
Sole
0.00
Shared
0.00
None
40.69K
SPDR SER TR
SOLEShares11.59K
TypeSH
Market value$1.50M
1.49%
Sole
0.00
Shared
0.00
None
11.59K
VANECK ETF TRUST
SOLEShares6.64K
TypeSH
Market value$1.50M
1.48%
Sole
0.00
Shared
0.00
None
6.64K
SPDR GOLD TR
SOLEShares7.96K
TypeSH
Market value$1.42M
1.41%
Sole
0.00
Shared
0.00
None
7.96K
NUVEEN MUN INCOME FD INC
SOLEShares142.27K
TypeSH
Market value$1.38M
1.36%
Sole
0.00
Shared
0.00
None
142.27K
VANGUARD SPECIALIZED FUNDS
SOLEShares8.12K
TypeSH
Market value$1.27M
1.26%
Sole
0.00
Shared
0.00
None
8.12K
SALESFORCE INC
SOLEShares8.25K
TypeSH
Market value$1.23M
1.22%
Sole
0.00
Shared
0.00
None
8.25K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
APPLE INCSOLE | COM | 68.39K | SH | $9.22M 9.11% | 0.00 | 0.00 | 68.39K |
SPDR S&P 500 ETF TRSOLE | TR UNIT | 12.57K | SH | $5.01M 4.95% | 0.00 | 0.00 | 12.57K |
SPDR DOW JONES INDL AVERAGESOLE | UT SER 1 | 10.43K | SH | $3.58M 3.54% | 0.00 | 0.00 | 10.43K |
VANGUARD INDEX FDSSOLE | TOTAL STK MKT | 16.99K | SH | $3.40M 3.36% | 0.00 | 0.00 | 16.99K |
SCHWAB STRATEGIC TRSOLE | US LCAP GR ETF | 56.55K | SH | $3.29M 3.25% | 0.00 | 0.00 | 56.55K |
SCHWAB STRATEGIC TRSOLE | INT-TRM U.S TRES | 64.43K | SH | $3.24M 3.20% | 0.00 | 0.00 | 64.43K |
ALPHABET INCSOLE | CAP STK CL C | 29.79K | SH | $2.76M 2.73% | 0.00 | 0.00 | 29.79K |
SCHWAB STRATEGIC TRSOLE | 1000 INDEX ETF | 65.69K | SH | $2.53M 2.50% | 0.00 | 0.00 | 65.69K |
BLACKSTONE INCSOLE | COM | 28.41K | SH | $2.42M 2.39% | 0.00 | 0.00 | 28.41K |
NVIDIA CORPORATIONSOLE | COM | 12.70K | SH | $2.15M 2.12% | 0.00 | 0.00 | 12.70K |
MICROSOFT CORPSOLE | COM | 8.41K | SH | $2.01M 1.99% | 0.00 | 0.00 | 8.41K |
INVESCO QQQ TRSOLE | UNIT SER 1 | 6.79K | SH | $1.91M 1.89% | 0.00 | 0.00 | 6.79K |
SPDR SER TRSOLE | PRTFLO S&P500 VL | 46.18K | SH | $1.90M 1.88% | 0.00 | 0.00 | 46.18K |
AMAZON COM INCSOLE | COM | 19.09K | SH | $1.87M 1.85% | 0.00 | 0.00 | 19.09K |
SCHWAB STRATEGIC TRSOLE | 1 5YR CORP BD | 38.60K | SH | $1.83M 1.81% | 0.00 | 0.00 | 38.60K |
SCHWAB STRATEGIC TRSOLE | US AGGREGATE B | 38.61K | SH | $1.82M 1.80% | 0.00 | 0.00 | 38.61K |
FLEXSHARES TRSOLE | IBOXX 5YR TRGT | 70.04K | SH | $1.68M 1.66% | 0.00 | 0.00 | 70.04K |
SCHWAB STRATEGIC TRSOLE | SCHWB FDT INT LG | 49.48K | SH | $1.54M 1.52% | 0.00 | 0.00 | 49.48K |
SCHWAB STRATEGIC TRSOLE | LONG TERM US | 40.69K | SH | $1.53M 1.51% | 0.00 | 0.00 | 40.69K |
SPDR SER TRSOLE | S&P DIVID ETF | 11.59K | SH | $1.50M 1.49% | 0.00 | 0.00 | 11.59K |
VANECK ETF TRUSTSOLE | SEMICONDUCTR ETF | 6.64K | SH | $1.50M 1.48% | 0.00 | 0.00 | 6.64K |
SPDR GOLD TRSOLE | GOLD SHS | 7.96K | SH | $1.42M 1.41% | 0.00 | 0.00 | 7.96K |
NUVEEN MUN INCOME FD INCSOLE | COM | 142.27K | SH | $1.38M 1.36% | 0.00 | 0.00 | 142.27K |
VANGUARD SPECIALIZED FUNDSSOLE | DIV APP ETF | 8.12K | SH | $1.27M 1.26% | 0.00 | 0.00 | 8.12K |
SALESFORCE INCSOLE | COM | 8.25K | SH | $1.23M 1.22% | 0.00 | 0.00 | 8.25K |
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