FOCUS WEALTH ADVISORS, LLC
Adviser information for FOCUS WEALTH ADVISORS, LLC last updated from Form ADV on March 13th, 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 | Texas, 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 | 354 | $244.4M |
| Non-Discretionary | 3 | $3.4M |
| Total | 357 | $247.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 67 | $30.6M |
| HNW Individuals | 44 | $216.1M |
| 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 | <5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Principal Office
2200 POST OAK BOULEVARDSUITE 1000
HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (713) 800-7170, Fax: (888) 870-2138
Chief Compliance Officer
MARK A. FRUGONI
MANAGING MEMBER & CCO
2200 POST OAK BOULEVARD
SUITE 1000
HOUSTON
TX
United States
Tel:
(713) 800-7170
M***********@***********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 |
|---|---|---|---|---|---|
| Frugoni, Annelyse, D | Individual | – | CFO | 01/2015 | < 5% |
| FRUGONI, MARK, ANDREW | Individual | – | MANAGING MEMBER & CCO | 01/2013 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ADOBE INC | COM | 2M | 4K | – |
| ALPHABET INC | CAP STK CL C | 288K | 2K | – |
| AMAZON COM INC | COM | 323K | 2K | – |
| AMERICAN EXPRESS CO | COM | 2M | 10K | – |
| APPLE INC | COM | 3M | 16K | – |
| BROADCOM INC | COM | 812K | 506 | – |
| DBX ETF TR | XTRACK MUN INFRA | 917K | 36K | – |
| DOW INC | COM | 2M | 35K | – |
| EXXON MOBIL CORP | COM | 1M | 12K | – |
| FIRST TR EXCH TRADED FD III | LNG/SHT EQUITY | 6M | 94K | – |
| FIRST TR EXCHANGE TRADED FD | MATERIALS ALPH | 4M | 58K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 5M | 167K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 5M | 172K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 21M | 481K | – |
| GE AEROSPACE | COM NEW | 2M | 13K | – |
| GE VERNOVA INC | COM | 480K | 3K | – |
| HANCOCK WHITNEY CORPORATION | COM | 492K | 10K | – |
| HOME DEPOT INC | COM | 261K | 757 | – |
| INNOVATOR ETFS TRUST | GRWT100 PWR BF | 10M | 219K | – |
| INVESCO EXCH TRADED FD TR II | CALIF AMT MUN | 867K | 35K | – |
| INVESCO EXCH TRADED FD TR II | NATL AMT MUNI | 900K | 38K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2024 CB | 229K | 11K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 CB | 277K | 14K | – |
| INVESCO EXCHANGE TRADED FD T | S&P 500 TOP 50 | 500K | 11K | – |
| INVESCO QQQ TR | UNIT SER 1 | 295K | 615 | – |
| ISHARES INC | JP MRGN EM HI BD | 2M | 49K | – |
| ISHARES TR | 0-5YR HI YL CP | 227K | 5K | – |
| ISHARES TR | BLACKROCK ULTRA | 361K | 7K | – |
| ISHARES TR | CORE S&P500 ETF | 31M | 56K | – |
| ISHARES TR | CORE US AGGBD ET | 2M | 18K | – |
| ISHARES TR | FALN ANGLS USD | 2M | 68K | – |
| ISHARES TR | FLTG RATE NT ETF | 2M | 37K | – |
| ISHARES TR | ISHS 5-10YR INVT | 535K | 10K | – |
| ISHARES TR | NATIONAL MUN ETF | 460K | 4K | – |
| ISHARES TR | PFD AND INCM SEC | 2M | 70K | – |
| ISHARES TR | SELECT DIVID ETF | 5M | 40K | – |
| ISHARES TR | US AER DEF ETF | 5M | 38K | – |
| ISHARES TR | US HOME CONS ETF | 5M | 52K | – |
| JPMORGAN CHASE & CO. | COM | 260K | 1K | – |
| MCDONALDS CORP | COM | 2M | 7K | – |
| MERCK & CO INC | COM | 2M | 16K | – |
| META PLATFORMS INC | CL A | 295K | 586 | – |
| MICROSOFT CORP | COM | 3M | 7K | – |
| NVIDIA CORPORATION | COM | 1M | 10K | – |
| SALESFORCE INC | COM | 2M | 8K | – |
| SELECT SECTOR SPDR TR | ENERGY | 4M | 45K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 9M | 24K | – |
| SPDR SER TR | BBG CONV SEC ETF | 2M | 33K | – |
| SPDR SER TR | NUVEEN BLMBRG MU | 887K | 19K | – |
| SPDR SER TR | S&P METALS MNG | 5M | 80K | – |
| STELLAR BANCORP INC | COM | 4M | 196K | – |
| VANECK ETF TRUST | INTRMDT MUNI ETF | 7M | 160K | – |
| VANECK ETF TRUST | LONG MUNI ETF | 896K | 50K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 15M | 203K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 326K | 871 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 4M | 7K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 724K | 6K | – |
| VANGUARD WHITEHALL FDS | INTL HIGH ETF | 275K | 4K | – |
| VISA INC | COM CL A | 2M | 8K | – |