{
  "crd_number": 172217,
  "slug": "focus-401-k-group-llc-addison-tx-172217",
  "primary_business_name": "FOCUS 401 (K) GROUP, LLC",
  "legal_name": "FOCUS 401 (K) GROUP, LLC",
  "dbas": [],
  "city": "Addison",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "19100",
  "metro": {
    "cbsa_code": "19100",
    "common_name": "Dallas",
    "msa_name": "Dallas-Fort Worth-Arlington, TX",
    "path": "/advisors/tx/dallas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-07-11",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-01-14",
  "carried_forward": false,
  "raum_total": 169876000.0,
  "raum_discretionary": 169876000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "pension_profit_sharing": {
      "raum": 169876000.0,
      "count": 27
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "pension_consulting"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "GA",
    "TX"
  ],
  "websites": [
    "https://focus401kgroup.com",
    "https://linkedin.com/company/focus-401-k-group"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172217",
  "city_as_filed": "ADDISON",
  "url": "https://advisorcensus.com/firm/focus-401-k-group-llc-addison-tx-172217",
  "display_name": "Focus 401 (K) Group, LLC",
  "summary": "Focus 401 (K) Group, LLC is an SEC-registered investment advisory firm in Addison, TX, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 14, 2026.",
  "citation": "AdvisorCensus. Focus 401 (K) Group, LLC (CRD 172217): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Focus 401 (K) Group, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Focus 401 (K) Group, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "What does Focus 401 (K) Group, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated January 14, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Focus 401 (K) Group, LLC located?",
      "a": "Focus 401 (K) Group, LLC's principal office is in Addison, TX, according to its Form ADV."
    },
    {
      "q": "Is Focus 401 (K) Group, LLC registered with the SEC or a state?",
      "a": "Focus 401 (K) Group, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 172217."
    },
    {
      "q": "How much does Focus 401 (K) Group, LLC manage?",
      "a": "Focus 401 (K) Group, LLC reports $169,876,000 in regulatory assets under management in its Form ADV filing dated January 14, 2026 (100% discretionary)."
    },
    {
      "q": "How have Focus 401 (K) Group, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Focus 401 (K) Group, LLC: Regulatory assets under management: $90,996,536 in the October 2021 data and $169,876,000 in the October 2026 data, up 87%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Focus 401 (K) Group, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (27)."
    },
    {
      "q": "Which custodians does Focus 401 (K) Group, LLC use?",
      "a": "Focus 401 (K) Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Ascensus Trust, Empower Trust, Fidelity Management Trust Company, Massachusetts Fidelity Trust, Mid Atlantic Trust, Principal Trust Company, Reliance Trust Company and Vestwell Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Focus 401 (K) Group, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/172217"
    },
    {
      "q": "Does Focus 401 (K) Group, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated January 14, 2026 says: \"Focus 401(k) Group, LLC does not require a minimum to open an account.\""
    },
    {
      "q": "What changed in Focus 401 (K) Group, LLC's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $99,828,000 to $169,876,000 (+70%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 90996536.0,
      "total_employees": 2,
      "filing_date": "2021-01-20"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 97799589.0,
      "total_employees": 2,
      "filing_date": "2022-01-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 77500000.0,
      "total_employees": 2,
      "filing_date": "2023-03-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 93171000.0,
      "total_employees": 2,
      "filing_date": "2024-01-11"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 99828000.0,
      "total_employees": 2,
      "filing_date": "2025-01-20"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 169876000.0,
      "total_employees": 2,
      "filing_date": "2026-01-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $99,828,000 to $169,876,000 (+70%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated January 14, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "2% of assets a year",
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "The fee may be based on a percentage of the assets held in the Plan (not to exceed 2% annually), or on a flat fee basis, as negotiated between us and the Plan."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "Focus 401(k) Group, LLC does not require a minimum to open an account."
        ]
      }
    ],
    "quotes": [
      "The fee may be based on a percentage of the assets held in the Plan (not to exceed 2% annually), or on a flat fee basis, as negotiated between us and the Plan.",
      "Focus 401(k) Group, LLC does not require a minimum to open an account."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Ascensus Trust",
      "name_as_filed": "ASCENSUS TRUST",
      "affiliated": false
    },
    {
      "name": "Empower Trust",
      "name_as_filed": "EMPOWER TRUST",
      "affiliated": false
    },
    {
      "name": "Fidelity Management Trust Company",
      "name_as_filed": "FIDELITY MANAGEMENT TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "Massachusetts Fidelity Trust",
      "name_as_filed": "MASSACHUSETTS FIDELITY TRUST",
      "affiliated": false
    },
    {
      "name": "Mid Atlantic Trust",
      "name_as_filed": "MID ATLANTIC TRUST",
      "affiliated": false
    },
    {
      "name": "Principal Trust Company",
      "name_as_filed": "PRINCIPAL TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "Reliance Trust Company",
      "name_as_filed": "RELIANCE TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "Vestwell Trust Company",
      "name_as_filed": "VESTWELL TRUST COMPANY",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/focus-401-k-group-llc-addison-tx-172217.md",
  "clients": [
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 27,
      "fewer_than_5": false,
      "raum": 169876000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172217",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}