FINANCIAL FOCUS LLC
Adviser information for FINANCIAL FOCUS LLC last updated from Form ADV on March 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,305 | $565.4M |
| Non-Discretionary | 146 | $76.7M |
| Total | 1,451 | $642.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 354 | $163.0M |
| HNW Individuals | 222 | $460.2M |
| 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 | 2 | $1.5M |
| Charitable organizations | 1 | $17.3M |
| 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 | 26 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 429.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FINANCIAL FOCUS WRAP FEE PROGRAM | FINANCIAL FOCUS LLC |
Identifiers
| SEC RIA File Number | 801-112408 |
|---|---|
| SEC ERA File Number | 801-112408 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282177 |
| Legal Entity Identifier | None |
Principal Office
1917 PALOMAR OAKS WAYSUITE 130
CARLSBAD
CA
United States
Monday - Friday, 8-5
Tel: 760-431-3040, Fax: 760-931-5719
Websites
Chief Compliance Officer
BARBARA WILLIAMS
MEMBER
1917 PALOMAR OAKS WAY
SUITE 130
CARLSBAD
CA
United States
Tel:
760-431-3040
Fax:
760-931-5179
B***************@********************M
(Full email address available in API data)
Regulatory Contact
KAITLIN HEWELL
MEMBER
1917 PALOMAR OAKS WAY
SUITE 130
CARLSBAD
CA
United States
Tel:
760-431-3040
Fax:
760-931-5179
K**********@********************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 |
|---|---|---|---|---|---|
| WILLIAMS, BARBARA, JESSUP | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2015 | 25-50% |
| HOVIS-WILLIAMS, INC. | Domestic Entity | – | MEMBER | 12/2015 | 25-50% |
| HEWELL FINANCIAL GROUP, INC. | Domestic Entity | – | MEMBER | 12/2015 | 25-50% |
| WILLIAMS, BARBARA, JESSUP | Individual | HOVIS-WILLIAMS, INC. | CO-OWNER | 12/2015 | 50-75% |
| HOVIS, JOHN, H | Individual | HOVIS-WILLIAMS, INC. | CO-OWNER | 12/2015 | 50-75% |
| HEWELL, KAITLIN, MARIE | Individual | HEWELL FINANCIAL GROUP, INC. | PRESIDENT | 11/2012 | > 75% |