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FOCUS FINANCIAL

MINNEAPOLIS, MN · CRD 116140 · IAPD ↗ · focusfinancial.com · 651-631-8166

$6.82BRegulatory AUM
114Advisory reps
189Employees
105Clients
101-250Planning clients
0Private funds
47States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — FOCUS FINANCIAL notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
September 2026 — FOCUS FINANCIAL added office(s): 35 -> 36 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
October 2024 — FOCUS FINANCIAL's Item 11 disclosure-reporting entries rose by 3 (0 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — FOCUS FINANCIAL shrank from 194 to 121 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
63
April 2024 — FOCUS FINANCIAL reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.