# Focused Wealth Management, Inc.

> 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.

- CRD: 154828
- Filed as: FOCUSED WEALTH MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Newburgh, NY
- Filing period: October 2026
- Form ADV filing dated: March 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/154828
- AdvisorCensus page: https://advisorcensus.com/firm/focused-wealth-management-inc-newburgh-ny-154828

## Quick answers

**How is Focused Wealth Management, Inc. compensated?**
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).

**How much does Focused Wealth Management, Inc. charge?**
Its Form ADV Part 2A brochure dated March 23, 2026 states: Hourly rate: $150 an hour (written or oral plan); Flat fee: $100 to $1,000 (comprehensive financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Focused Wealth Management, Inc. located?**
Focused Wealth Management, Inc.'s principal office is in Newburgh, NY, according to its Form ADV.

**Is Focused Wealth Management, Inc. registered with the SEC or a state?**
Focused Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 154828.

**How much does Focused Wealth Management, Inc. manage?**
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).

**How have Focused Wealth Management, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does Focused Wealth Management, Inc. serve?**
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).

**Which custodians does Focused Wealth Management, Inc. use?**
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.

**Does Focused Wealth Management, Inc. report any disciplinary disclosures?**
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

**What changed in Focused Wealth Management, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $1,890,919,902 to $2,268,833,800 (+20%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 23, 2026)

- Hourly rate: $150 an hour (written or oral plan)

> If the client elects to proceed with a written or oral plan and selects an hourly fee, the representative of record will inform the client of the estimated hours it will take to complete the service at a rate not to exceed $150 per hour.

- Flat fee: $100 to $1,000 (comprehensive financial planning services)

> FWM charges a fixed fee for comprehensive financial planning services that will range from $100 to $1,000 per plan depending upon the complexity of the client's financial situation and the actual services to be provided.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $2,268,833,800
- Discretionary: $1,943,837,693
- Non-discretionary: $324,996,107

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,867 | $436,637,436 |
| High net worth individuals | 296 | $815,995,269 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 133 | $602,177,894 |
| Charitable organizations | 7 | $5,665,849 |
| State or municipal government entities (including government pension plans) | 7 | $11,845,940 |
| Corporations or other businesses not listed above | 23 | $396,511,412 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2010 (15 years)
- Employees: 19 total, 8 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/154828

### Websites listed on Form ADV (Item 1.I)
- focusedwealthmgmt.com
- vimeo.com/focusedwealthmgmt
- Facebook @FOCUSEDWEALTHMANAGEMENT
- Instagram @focusedwealthmgmt
- LinkedIn @FOCUSED-WEALTH-MANAGEMENT-SECURITIES-AMERICA-INC.
- X @FOCUSEDWM_RIA
- YouTube @focusedwealthmanagement8169

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $912,107,553 | 16 | March 23, 2021 |
| October 2022 | $1,091,076,752 | 14 | March 22, 2022 |
| October 2023 | $949,348,874 | 18 | September 26, 2023 |
| October 2024 | $1,183,645,956 | 18 | August 14, 2024 |
| October 2025 | $1,890,919,902 | 19 | July 18, 2025 |
| October 2026 | $2,268,833,800 | 19 | March 23, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $1,890,919,902 to $2,268,833,800 (+20%).

### December 2025
- Employees performing advisory functions went from 13 to 8.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Focused Wealth Management, Inc. (CRD 154828): Form ADV filing data as of October 2026.