{
  "crd_number": 154828,
  "slug": "focused-wealth-management-inc-newburgh-ny-154828",
  "primary_business_name": "FOCUSED WEALTH MANAGEMENT, INC.",
  "legal_name": "FOCUSED WEALTH MANAGEMENT, INC.",
  "dbas": [],
  "city": "Newburgh",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "28880",
  "metro": {
    "cbsa_code": "28880",
    "common_name": "Kiryas Joel",
    "msa_name": "Kiryas Joel-Poughkeepsie-Newburgh, NY",
    "path": "/advisors/ny/kiryas-joel"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-11-05",
  "years_registered": 15,
  "period": "2026-10-01",
  "filing_date": "2026-03-23",
  "carried_forward": false,
  "raum_total": 2268833800.0,
  "raum_discretionary": 1943837693.0,
  "raum_non_discretionary": 324996107.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 19,
  "advisory_employees": 8,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 5665849.0,
      "count": 7
    },
    "individuals": {
      "raum": 436637436.0,
      "count": 1867
    },
    "state_municipal": {
      "raum": 11845940.0,
      "count": 7
    },
    "pension_profit_sharing": {
      "raum": 602177894.0,
      "count": 133
    },
    "high_net_worth_individuals": {
      "raum": 815995269.0,
      "count": 296
    },
    "corporations_other_businesses": {
      "raum": 396511412.0,
      "count": 23
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "MA",
    "MD",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "OH",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA",
    "WA"
  ],
  "websites": [
    "https://facebook.com/FOCUSEDWEALTHMANAGEMENT",
    "https://focusedwealthmgmt.com",
    "https://instagram.com/focusedwealthmgmt",
    "https://linkedin.com/COMPANY/FOCUSED-WEALTH-MANAGEMENT-SECURITIES-AMERICA-INC.",
    "https://twitter.com/FOCUSEDWM_RIA",
    "https://vimeo.com/focusedwealthmgmt",
    "https://youtube.com/@focusedwealthmanagement8169"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/154828",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEWBURGH",
  "url": "https://advisorcensus.com/firm/focused-wealth-management-inc-newburgh-ny-154828",
  "display_name": "Focused Wealth Management, Inc.",
  "summary": "Focused Wealth Management, Inc. is an SEC-registered investment advisory firm in Newburgh, NY, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 23, 2026.",
  "citation": "AdvisorCensus. Focused Wealth Management, Inc. (CRD 154828): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Focused Wealth Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Focused Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Focused Wealth Management, Inc. located?",
      "a": "Focused Wealth Management, Inc.'s principal office is in Newburgh, NY, according to its Form ADV."
    },
    {
      "q": "Is Focused Wealth Management, Inc. registered with the SEC or a state?",
      "a": "Focused Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 154828."
    },
    {
      "q": "How much does Focused Wealth Management, Inc. manage?",
      "a": "Focused Wealth Management, Inc. reports $2,268,833,800 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (86% discretionary)."
    },
    {
      "q": "How have Focused Wealth Management, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Focused Wealth Management, Inc.: Regulatory assets under management: $912,107,553 in the October 2021 data and $2,268,833,800 in the October 2026 data, up 149%. Total employees: 16 in October 2021 and 19 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Focused Wealth Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,867); high net worth individuals (296); pension and profit sharing plans (but not the plan participants or government pension plans) (133)."
    },
    {
      "q": "Which custodians does Focused Wealth Management, Inc. use?",
      "a": "Focused Wealth Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Focused Wealth Management, Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/154828"
    },
    {
      "q": "What changed in Focused Wealth Management, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $1,890,919,902 to $2,268,833,800 (+20%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 912107553.0,
      "total_employees": 16,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1091076752.0,
      "total_employees": 14,
      "filing_date": "2022-03-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 949348874.0,
      "total_employees": 18,
      "filing_date": "2023-09-26"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1183645956.0,
      "total_employees": 18,
      "filing_date": "2024-08-14"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1890919902.0,
      "total_employees": 19,
      "filing_date": "2025-07-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2268833800.0,
      "total_employees": 19,
      "filing_date": "2026-03-23"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $1,890,919,902 to $2,268,833,800 (+20%)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Employees performing advisory functions went from 13 to 8."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "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/focused-wealth-management-inc-newburgh-ny-154828.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1867,
      "fewer_than_5": false,
      "raum": 436637436.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 296,
      "fewer_than_5": false,
      "raum": 815995269.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 133,
      "fewer_than_5": false,
      "raum": 602177894.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 7,
      "fewer_than_5": false,
      "raum": 5665849.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 7,
      "fewer_than_5": false,
      "raum": 11845940.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 23,
      "fewer_than_5": false,
      "raum": 396511412.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "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/154828",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}