FOCUSED TRADING AND INVESTMENTS, INC.
Adviser information for FOCUSED TRADING AND INVESTMENTS, INC. last updated from Form ADV on February 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $10,000 |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $10,000 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $10,000 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesMarket timing services |
|---|---|
| Compensation | MONTHLY SUBSCRIPTION FEE (NOT FOR A NEWSLETTER OR PERIODICAL) |
Identifiers
| SEC RIA File Number | 801-111664 |
|---|---|
| SEC ERA File Number | 801-111664 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289387 |
| Legal Entity Identifier | None |
Principal Office
3006 ASHLAND GROVE DRIVEKNIGHTDALE
NC
United States
Monday - Friday, 9AM - 5PM
Tel: 919-608-1259, Fax: None
Websites
Chief Compliance Officer
STEVEN GRAY
PRESIDENT AND CEO
3006 ASHLAND GROVE DRIVE
KNIGHTDALE
NC
United States
Tel:
919-608-1259
S****@*****************M
(Full email address available in API data)
Regulatory Contact
STEVEN GRAY
PRESIDENT AND CEO
ASHLAND GROVE DRIVE
3006
KNIGHTDALE
NC
United States
Tel:
9196081259
S********@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Gray, Steven, Dwight | Individual | – | PRESIDENT, CEO AND CCO | 07/2017 | > 75% |