Kaizen Financial Strategies
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 4, 2024), Kaizen Financial Strategies reported 133 stock positions worth $171.6 million. Its top holding was Apple (AAPL) at 8.9% of the portfolio, followed by SS SPDR S&P 500 ETF Trust-US (SPY, 8.4%) and Schwab US Large-Cap Growth (SCHG, 7.7%). Compared with Q2 2024, it opened 14 new positions, sold out of 12, added to 62 and reduced 33. The biggest buy was a new position in Hewlett Packard Enterprise (HPE) and the biggest sale Alphabet Class A (GOOGL, shares −29%).
- Most Recent 13F
- Q2 2026
- Location
- CAMPBELL, CA
- CIK
- 0001842013
- Portfolio Value
- $171.6M (Q3 2024)
- SEC Filing
- 0001085146-24-005322 ↗ filed Nov 4, 2024
Holdings Value
Holdings 133 stocks · $171.6M
| AAPL Apple Inc. | 8.87% | 65,307 | $15.2M | Reduce -1.9% |
| SPY SS SPDR S&P 500 ETF Trust-US | 8.38% | 25,057 | $14.4M | Add +0.1% |
| SCHG Schwab US Large-Cap Growth | 7.71% | 126,959 | $13.2M | Reduce -1.5% |
| VIG Vanguard Dividend Apprec ETF | 4.93% | 42,692 | $8.5M | Reduce -5.0% |
| VCRB Vanguard Core Bond ETF | 4.88% | 105,649 | $8.4M | Add +7.1% |
| NVDA Nvidia Corp. | 4.35% | 61,428 | $7.5M | Reduce -1.9% |
| SCHI Schwab 5-10 Year Corporate B | 3.68% | 136,619 | $6.3M | Add +4.7% |
| BX Blackstone Inc. | 2.78% | 31,181 | $4.8M | Reduce -3.2% |
| FNDF Schwab Fndmn Intl LRG Co. ETF | 2.76% | 126,928 | $4.7M | Add +1.1% |
| TSLA Tesla Inc. | 2.47% | 16,214 | $4.2M | Reduce -0.4% |
| SCHQ Schwab Long-Term US Treasury | 2.45% | 119,997 | $4.2M | Reduce -3.1% |
| MSFT Microsoft Corp. | 1.85% | 7,395 | $3.2M | Add +2.1% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 1.83% | 86,037 | $3.1M | Add +17.6% |
| AMZN Amazon.com Inc. | 1.82% | 16,733 | $3.1M | Add +3.1% |
| SMH Vaneck Semiconductor ETF | 1.67% | 11,675 | $2.9M | Add +8.6% |
| GOOG Alphabet Inc. Class C | 1.63% | 16,757 | $2.8M | Reduce -5.0% |
| FNDB Schwab Fndmntl US BRD Mr ETF | 1.52% | 37,061 | $2.6M | Add +9.9% |
| QQQ Invesco QQQ Trust Series 1 | 1.27% | 4,472 | $2.2M | Reduce -0.3% |
| CRM Salesforce Inc. | 1.15% | 7,232 | $2.0M | Reduce -1.7% |
| DIA SS SPDR Dow Jones Indus Avg filed as SPDR DOW JONES INDL AVERAGE | 1.13% | 4,584 | $1.9M | Reduce -3.3% |
| GOOGL Alphabet Inc. Class A | 1.04% | 10,810 | $1.8M | Reduce -28.8% |
| FNDA Schwab Fndmntl US SM Co. ETF | 0.96% | 27,576 | $1.6M | Add +7.0% |
| FNDE Schwab Fndmntl Em MRK Eq ETF | 0.83% | 44,214 | $1.4M | Reduce -1.2% |
| XLK SS Technology Select Sector | 0.79% | 5,996 | $1.4M | Reduce -3.3% |
| SCHR Schwab Intermediate-Term US | 0.74% | 25,230 | $1.3M | Add +3.7% |
| VOO Vanguard S&P 500 ETF | 0.74% | 2,392 | $1.3M | Add +17.1% |
| XYLD Global X S&P 500 Cove Call E | 0.69% | 28,711 | $1.2M | Add +4.5% |
| AMD Advanced Micro Devices | 0.66% | 6,922 | $1.1M | Add +3.4% |
| QYLD Global X Nasd 100 Cov Call | 0.61% | 57,763 | $1.0M | Add +5.2% |
| PDI PIMCO Dynamic Income Fund | 0.61% | 51,338 | $1.0M | Add +0.8% |
| ADBE Adobe Inc. | 0.60% | 1,996 | $1.0M | Reduce -6.2% |
| COST Costco Wholesale Corp. | 0.55% | 1,065 | $945K | Add +66.4% |
| VTI VG Morningstar TS MKT ETF-US | 0.55% | 3,332 | $943K | No change |
| LLY Eli Lilly & Co. | 0.54% | 1,037 | $919K | Add +154.2% |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | 0.52% | 7,927 | $896K | Reduce -2.1% |
| META Meta Platforms Inc. Class A | 0.51% | 1,538 | $880K | Reduce -2.2% |
| XLRE SS Real Estate Select Sector | 0.48% | 18,410 | $822K | Add +35.5% |
| KLAC KLA Corp. | 0.47% | 1,050 | $813K | No change |
| ABBV Abbvie Inc. | 0.46% | 3,994 | $789K | Add +0.4% |
| BLOK Amplify Blockchain Tech ETF | 0.45% | 20,630 | $774K | No change |
| HPE Hewlett Packard Enterprise | 0.45% | 37,670 | $771K | New |
| IUSG iShares Core S&P U.S. Growth | 0.45% | 5,823 | $768K | Add +0.2% |
| V Visa Inc. Class A | 0.43% | 2,680 | $737K | Reduce -3.6% |
| SCHK Schwab 1000 Index ETF | 0.41% | 12,785 | $707K | Add +1.3% |
| AMAT Applied Materials Inc. | 0.41% | 3,449 | $697K | Reduce -5.7% |
| VWO Vanguard Ftse Emerging Marke | 0.41% | 14,539 | $696K | Reduce -2.8% |
| KIE SS SPDR S&P Insurance ETF | 0.40% | 12,130 | $688K | Add +0.3% |
| STAG Stag Industrial Inc. | 0.39% | 17,249 | $674K | Reduce -6.6% |
| RSPT Invesco S&P 500 Equal Weight | 0.36% | 16,600 | $626K | No change |
| OKE Oneok Inc. | 0.36% | 6,698 | $610K | Add +1.1% |
| CAT Caterpillar Inc. | 0.35% | 1,528 | $598K | Add +0.3% |
| LEN Lennar Corp. Class A | 0.35% | 3,175 | $595K | Add +6.6% |
| IVV iShares Core S&P 500 ETF | 0.34% | 1,016 | $586K | Add +0.1% |
| USLM United States Lime & Mineral | 0.32% | 5,678 | $555K | Reduce -80.1% |
| XLU St Sr Utl SL SE SPDR ETF-Usd | 0.30% | 6,340 | $512K | New |
| NFLX Netflix Inc. | 0.29% | 706 | $501K | Add +5.8% |
| TMO Thermo Fisher Scientific Inc. | 0.29% | 808 | $500K | Add +0.3% |
| CIBR First Trust Nasdaq Cybersecu | 0.29% | 8,345 | $494K | Add +0.0% |
| XLF SS Financial Select Sector | 0.29% | 10,821 | $490K | Add +22.7% |
| AGX Argan Inc. | 0.28% | 4,770 | $484K | Reduce -0.6% |
| QCOM Qualcomm Inc. | 0.28% | 2,784 | $473K | Add +3.9% |
| VPLS Vanguard Core-Plus Bond ETF | 0.28% | 5,953 | $472K | Add +31.6% |
| GE General Electric filed as GE AEROSPACE | 0.28% | 2,503 | $472K | No change |
| VB Vanguard Most SM-Cap ETF-Usd | 0.27% | 1,949 | $462K | No change |
| FIW First Trust Water ETF | 0.26% | 4,027 | $440K | Add +0.1% |
| XLC SS Comm Select Sector SPDR | 0.26% | 4,863 | $440K | Add +0.0% |
| VBK Van Morst SML-Cap Gro-Usd Inc. | 0.25% | 1,612 | $431K | Reduce -12.2% |
| HESM Hess Midstream LP Class A | 0.25% | 12,184 | $430K | Add +10.7% |
| JPM JPMorgan Chase & Co. | 0.25% | 2,022 | $426K | Add +0.1% |
| PGR Progressive Corp. | 0.24% | 1,650 | $419K | No change |
| KTOS Kratos Defense & Security | 0.24% | 17,700 | $412K | Add +2.9% |
| ARIS WATER SOLUTIONS INC-A | 0.24% | 24,335 | $411K | Add +57.0% |
| LRCX Lam Research Corp. | 0.24% | 503 | $410K | Reduce -3.8% |
| IMCG iShares Morningstar Mid-Cap | 0.24% | 5,585 | $408K | Add +10.1% |
| XLV SS Health Care Select Sector | 0.24% | 2,630 | $405K | No change |
| ARM Arm Holdings PLC-ADR | 0.23% | 2,800 | $400K | Add +12.0% |
| AMGN Amgen Inc. | 0.21% | 1,143 | $368K | Reduce -3.0% |
| GLD SPDR Gold Shares | 0.21% | 1,512 | $368K | Reduce -1.5% |
| CVX Chevron Corp. | 0.21% | 2,463 | $363K | New |
| FISV Fiserv Inc. | 0.21% | 2,016 | $362K | No change |
| VCTR Victory Capital Holding - A | 0.21% | 6,510 | $361K | Reduce -0.6% |
| SCHZ Schwab US Aggregate Bond ETF | 0.21% | 7,570 | $360K | No change |
| ORCL Oracle Corp. | 0.21% | 2,083 | $355K | No change |
| SPG Simon Property Group Inc. | 0.21% | 2,097 | $354K | Reduce -16.4% |
| XHB SS SPDR S&P Homebldrs ETF | 0.21% | 2,843 | $354K | Add +39.2% |
| HACK Amplify Cybersecurity ETF | 0.20% | 5,132 | $350K | Add +4.1% |
| SCHA Schwab US Small-Cap ETF | 0.20% | 6,782 | $349K | Add +3.3% |
| KGC Kinross Gold Corp. | 0.20% | 37,000 | $346K | New |
| XIFR XPLR Infrastructure LP filed as NEXTERA ENERGY PARTNERS LP | 0.19% | 12,092 | $334K | Add +47.0% |
| PLTR Palantir Technologies Inc. Class A | 0.19% | 8,944 | $333K | Add +2.8% |
| TLT iShares 20+ Year Treasury BD | 0.19% | 3,292 | $323K | New |
| ETR Entergy Corp. | 0.19% | 2,450 | $322K | No change |
| IWM iShares Russell 2000 ETF | 0.19% | 1,446 | $319K | Reduce -6.3% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.18% | 687 | $316K | No change |
| SCHM Schwab US Mid Cap ETF | 0.18% | 3,754 | $312K | Reduce -2.4% |
| IWO iShares Russell 2000 Growth | 0.18% | 1,070 | $304K | Add +7.0% |
| XTL SS SPDR S&P Telecom ETF | 0.18% | 3,000 | $302K | New |
| REX Rex American Resources Corp. | 0.17% | 6,300 | $292K | No change |
| LDOS Leidos Holdings Inc. | 0.17% | 1,740 | $284K | Reduce -0.6% |
| CUBE Cubesmart | 0.16% | 5,181 | $279K | No change |
Options reported separately and not counted above: QQQ puts ($40K), XLF puts ($19K).
Other holdings (2): bonds, preferreds, convertibles and warrants · $718K (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 300 | $382K | No change |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | 7,240 | $336K | New |
Total filed on the 13F, all lines: $172.3M.
Portfolio Sells Q2 2024 → Q3 2024
| GOOGL Alphabet Inc. Class A | Reduce -28.8% | 1.04% | −0.57 |
| VIG Vanguard Dividend Apprec ETF | Reduce -5.0% | 4.93% | −0.36 |
| BITO Proshares Bitcoin ETF-Usd | Sold out | 0.00% | −0.29 |
| HLAL Wahed Ftse USA Shariah ETF | Sold out | 0.00% | −0.29 |
| GOOG Alphabet Inc. Class C | Reduce -5.0% | 1.63% | −0.26 |
| WSM Williams-Sonoma Inc. | Sold out | 0.00% | −0.25 |
| AAPL Apple Inc. | Reduce -1.9% | 8.87% | −0.24 |
| CMRE Costamare Inc. | Sold out | 0.00% | −0.20 |
| BBY Best Buy Co. Inc. | Sold out | 0.00% | −0.20 |
| ASR Grupo Aeroportuario Sur-ADR | Sold out | 0.00% | −0.19 |
| DVN Devon Energy Corp. | Sold out | 0.00% | −0.16 |
| UAL United Airlines Holdings Inc. | Sold out | 0.00% | −0.15 |
| XME SS SPDR S&P Metals Mining | Sold out | 0.00% | −0.15 |
| SCHQ Schwab Long-Term US Treasury | Reduce -3.1% | 2.45% | −0.15 |
| OMAB Grupo Aeroportuario Cen-ADR | Sold out | 0.00% | −0.14 |
| SCHG Schwab US Large-Cap Growth | Reduce -1.5% | 7.71% | −0.13 |
| AI C3.AI Inc. Class A | Sold out | 0.00% | −0.13 |
| OSCR Oscar Health Inc. Class A | Sold out | 0.00% | −0.12 |
| ADBE Adobe Inc. | Reduce -6.2% | 0.60% | −0.11 |
| STAG Stag Industrial Inc. | Reduce -6.6% | 0.39% | −0.08 |
| DIA SS SPDR Dow Jones Indus Avg | Reduce -3.3% | 1.13% | −0.08 |
| BX Blackstone Inc. | Reduce -3.2% | 2.78% | −0.06 |
| VBK Van Morst SML-Cap Gro-Usd Inc. | Reduce -12.2% | 0.25% | −0.05 |
| AMAT Applied Materials Inc. | Reduce -5.7% | 0.41% | −0.04 |
| LRCX Lam Research Corp. | Reduce -3.8% | 0.24% | −0.04 |
| SPG Simon Property Group Inc. | Reduce -16.4% | 0.21% | −0.04 |
| CRM Salesforce Inc. | Reduce -1.7% | 1.15% | −0.03 |
| AMGN Amgen Inc. | Reduce -3.0% | 0.21% | −0.03 |
| AJG Arthur J Gallagher & Co. | Reduce -9.9% | 0.15% | −0.03 |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | Reduce -2.1% | 0.52% | −0.03 |
| IWM iShares Russell 2000 ETF | Reduce -6.3% | 0.19% | −0.03 |
| V Visa Inc. Class A | Reduce -3.6% | 0.43% | −0.03 |
| XLK SS Technology Select Sector | Reduce -3.3% | 0.79% | −0.02 |
| SCHM Schwab US Mid Cap ETF | Reduce -2.4% | 0.18% | −0.01 |
| QQQ Invesco QQQ Trust Series 1 | Reduce -0.3% | 1.27% | −0.01 |
| VCTR Victory Capital Holding - A | Reduce -0.6% | 0.21% | −0.00 |
| VWO Vanguard Ftse Emerging Marke | Reduce -2.8% | 0.41% | −0.00 |
| GLD SPDR Gold Shares | Reduce -1.5% | 0.21% | +0.00 |
| LDOS Leidos Holdings Inc. | Reduce -0.6% | 0.17% | +0.01 |
| FNDE Schwab Fndmntl Em MRK Eq ETF | Reduce -1.2% | 0.83% | +0.02 |
| USLM United States Lime & Mineral | Reduce -80.1% | 0.32% | +0.03 |
| AGX Argan Inc. | Reduce -0.6% | 0.28% | +0.05 |
| META Meta Platforms Inc. Class A | Reduce -2.2% | 0.51% | +0.06 |
| TSLA Tesla Inc. | Reduce -0.4% | 2.47% | +0.21 |
| NVDA Nvidia Corp. | Reduce -1.9% | 4.35% | +0.29 |
Portfolio Buys Q2 2024 → Q3 2024
| HPE Hewlett Packard Enterprise | New | 0.45% | +0.45 |
| LLY Eli Lilly & Co. | Add +154.2% | 0.54% | +0.33 |
| XLU St Sr Utl SL SE SPDR ETF-Usd | New | 0.30% | +0.30 |
| CGDV Cap Group Dividend Value | Add +17.6% | 1.83% | +0.24 |
| COST Costco Wholesale Corp. | Add +66.4% | 0.55% | +0.23 |
| CVX Chevron Corp. | New | 0.21% | +0.21 |
| KGC Kinross Gold Corp. | New | 0.20% | +0.20 |
| TLT iShares 20+ Year Treasury BD | New | 0.19% | +0.19 |
| XTL SS SPDR S&P Telecom ETF | New | 0.18% | +0.18 |
| MMM 3M Co. | New | 0.16% | +0.16 |
| UNH Unitedhealth Group Inc. | New | 0.14% | +0.14 |
| AXON Axon Enterprise Inc. | New | 0.14% | +0.14 |
| XLRE SS Real Estate Select Sector | Add +35.5% | 0.48% | +0.13 |
| SMH Vaneck Semiconductor ETF | Add +8.6% | 1.67% | +0.13 |
| VCRB Vanguard Core Bond ETF | Add +7.1% | 4.88% | +0.12 |
| HRB H&R Block Inc. | New | 0.12% | +0.12 |
| PYPL PayPal Holdings Inc. | New | 0.12% | +0.12 |
| SPLB SS SPDR P Long Term C ETF | New | 0.12% | +0.12 |
| VOO Vanguard S&P 500 ETF | Add +17.1% | 0.74% | +0.10 |
| FNDB Schwab Fndmntl US BRD Mr ETF | Add +9.9% | 1.52% | +0.09 |
| AMD Advanced Micro Devices | Add +3.4% | 0.66% | +0.08 |
| PRTH Priority Technology Holdings | New | 0.08% | +0.08 |
| ARIS WATER SOLUTIONS INC-A | Add +57.0% | 0.24% | +0.07 |
| XIFR XPLR Infrastructure LP | Add +47.0% | 0.19% | +0.06 |
| VPLS Vanguard Core-Plus Bond ETF | Add +31.6% | 0.28% | +0.06 |
| XHB SS SPDR S&P Homebldrs ETF | Add +39.2% | 0.21% | +0.06 |
| PLTR Palantir Technologies Inc. Class A | Add +2.8% | 0.19% | +0.05 |
| XLF SS Financial Select Sector | Add +22.7% | 0.29% | +0.04 |
| JOBY Joby Aviation Inc. | New | 0.03% | +0.03 |
| NFLX Netflix Inc. | Add +5.8% | 0.29% | +0.03 |
| ARM Arm Holdings PLC-ADR | Add +12.0% | 0.23% | +0.03 |
| CAT Caterpillar Inc. | Add +0.3% | 0.35% | +0.02 |
| TEI Templeton Emrg MKTS Inc. | Add +24.5% | 0.12% | +0.02 |
| IMCG iShares Morningstar Mid-Cap | Add +10.1% | 0.24% | +0.02 |
| QYLD Global X Nasd 100 Cov Call | Add +5.2% | 0.61% | +0.02 |
| SCHI Schwab 5-10 Year Corporate B | Add +4.7% | 3.68% | +0.02 |
| EZA iShares MSCI South Africa Et | Add +4.0% | 0.15% | +0.01 |
| ACHR Archer Aviation Inc. Class A | Add +80.0% | 0.09% | +0.01 |
| OKE Oneok Inc. | Add +1.1% | 0.36% | +0.01 |
| LEN Lennar Corp. Class A | Add +6.6% | 0.35% | +0.01 |
| NEE Nextera Energy Inc. | Add +0.6% | 0.16% | +0.01 |
| HACK Amplify Cybersecurity ETF | Add +4.1% | 0.20% | +0.01 |
| NEM Newmont Corp. | Add +0.5% | 0.15% | +0.01 |
| FNF Fidelity National Financial | Add +0.1% | 0.15% | +0.01 |
| XYLD Global X S&P 500 Cove Call E | Add +4.5% | 0.69% | +0.01 |
| PDI PIMCO Dynamic Income Fund | Add +0.8% | 0.61% | +0.00 |
| CIBR First Trust Nasdaq Cybersecu | Add +0.0% | 0.29% | +0.00 |
| IUSG iShares Core S&P U.S. Growth | Add +0.2% | 0.45% | +0.00 |
| XAWFX Alliancebernstein GL Hi Inc. | Add +1.2% | 0.09% | +0.00 |
| IWO iShares Russell 2000 Growth | Add +7.0% | 0.18% | +0.00 |
Options Activity Q2 2024 → Q3 2024
| QQQ Invesco QQQ Trust Series 1 | put | New | 11,000 | $40K |
| XLF SS Financial Select Sector | put | New | 17,000 | $19K |
| BITO Proshares Bitcoin ETF-Usd | call | Sold out | 16,000 | $10Kbefore exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q2 2024 → Q3 2024
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | New | 7,240 | $336K |
Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 169 | $252.8M | SCHG, AAPL, SPY, CGDV, NVDA |
| Q1 2026 | 169 | $235.8M | SPY, SCHG, AAPL, CGDV, NVDA |
| Q4 2025 | 162 | $226.2M | SPY, SCHG, AAPL, CGDV, NVDA |
| Q3 2025 | 150 | $220.8M | SPY, SCHG, AAPL, CGDV, NVDA |
| Q2 2025 | 147 | $196.0M | SPY, SCHG, AAPL, CGDV, VCRB |
| Q1 2025 | 136 | $172.4M | SPY, AAPL, SCHG, VCRB, CGDV |
| Q4 2024 | 131 | $175.8M | SPY, AAPL, SCHG, NVDA, VCRB |
| Q3 2024 | 133 | $171.6M | AAPL, SPY, SCHG, VIG, VCRB |
| Q2 2024 | 131 | $160.0M | AAPL, SPY, SCHG, VIG, VCRB |
| Q1 2024 | 122 | $146.9M | SPY, SCHG, AAPL, VIG, SCHZ |