FOCUS FINANCIAL ADVISORS
FOCUS WEALTH PLANNING INC Legal Name
Adviser information for FOCUS FINANCIAL ADVISORS last updated from Form ADV on March 21st, 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| 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 | 172 | $127.4M |
| Non-Discretionary | 0 | $0 |
| Total | 172 | $127.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 114 | $28.1M |
| HNW Individuals | 58 | $99.3M |
| 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 | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-113955 |
|---|---|
| SEC ERA File Number | 801-113955 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297806 |
| Legal Entity Identifier | None |
Principal Office
6870 ROTE ROADSUITE 101
ROCKFORD
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 815-633-8844, Fax: 815-633-2108
Websites
Chief Compliance Officer
MARTHA WHITMAN
OFFICE MANAGER
6870 ROTE ROAD SUITE 101
ROCKFORD
IL
United States
Tel:
815-633-8844
Fax:
815-633-2108
M*****@*************************M
(Full email address available in API data)
Regulatory Contact
JON L. ALDRICH
PRESIDENT
6870 ROTE ROAD SUITE 101
ROCKFORD
IL
United States
Tel:
815-633-8844
Fax:
815-633-2108
J**@*************************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 |
|---|---|---|---|---|---|
| ALDRICH, JON, L | Individual | – | PRESIDENT | 08/2018 | < 5% |
| WHITMAN, MARTHA, L | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2018 | < 5% |
| REVOCABLE DECLARATION OF TRUST FOR JON L. ALDRICH | Domestic Entity | – | OWNER | 04/2003 | > 75% |
| ALDRICH, JON, L | Individual | REVOCABLE DECLARATION OF TRUST FOR JON L. ALDRICH | TRUSTEE/PRESIDENT | 08/2018 |