FOCUS 401 (K) GROUP, LLC
Adviser information for FOCUS 401 (K) GROUP, LLC last updated from Form ADV on January 11th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 21 | $93.2M |
| Non-Discretionary | 0 | $0 |
| Total | 21 | $93.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| 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 | 21 | $93.2M |
| 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 | 25 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-80065 |
|---|---|
| SEC ERA File Number | 801-80065 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172217 |
| Legal Entity Identifier | None |
Principal Office
16415 ADDISON ROADSUITE 312
ADDISON
TX
United States
Monday - Friday, 8-5
Tel: 214-373-4113, Fax: 214-373-4255
Chief Compliance Officer
PHILLIP POWERS
MEMBER
16415 ADDISON ROAD
SUITE 312
ADDISON
TX
United States
Tel:
214-373-4113
Fax:
214-373-4255
P******@*****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL RUBENSTEIN
MEMBER
16415 ADDISON ROAD
SUITE 312
ADDISON
TX
United States
Tel:
214-373-4113
Fax:
214-373-4255
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 |
|---|---|---|---|---|---|
| POWERS, PHILLIP, RUSSELL | Individual | – | CHIEF COMPLIANCE OFFICER/MEMBER | 07/2014 | 50-75% |
| RUBENSTEIN, MICHAEL, JAY | Individual | – | MEMBER | 07/2014 | 50-75% |