FOCUS 401 (K) GROUP, LLC

RIASEC RegisteredEst. 2014

Total AUM

$170M

Discretionary

$170M

100% of AUM

Avg account

$6.3M

Accounts

Employees

Advisory reps

Firm details

Headquarters: Addison, Texas
CRD number: 172217
Registered since: July 11, 2014
Custodians: RELIANCE TRUST COMPANY, FIDELITY DISTRIBUTORS COMPANY LLC, MID ATLANTIC CAPITAL CORPORATION, EMPOWER TRUST, ASCENSUS TRUST, PRINCIPAL SECURITIES, INC., VESTWELL TRUST COMPANY, MASSACHUSETTS FIDELITY TRUST
Fee structure: Percentage of AUM, Fixed Fees
Client types: Pension & Profit Sharing Plans100%
Services: Pension Consulting

Firm profile

FINTRX

Overview

Focus 401 (K) Group, LLC is a small, institutionally focused advisory firm that provides pension consulting and retirement-plan advisory services. Registered in 2014 as an LLC and owned by an individual, the firm structures fees as a mix of percentage-of-AUM and fixed fees and concentrates on plan-level advisory rather than wealth management for retail households. Its investment approach favors pooled public vehicles — primarily mutual funds and other public funds — for managing plan assets, while supplementing core allocations with externally managed alternative strategies when plan sponsors request broader diversification. The firm does not present itself as an ESG-focused or multi-state adviser and operates with a modest roster of institutional clients, allowing hands-on consulting and manager-selection work.