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FOCUSED WEALTH MANAGEMENT, INC.

NEWBURGH, NY · CRD 154828 · IAPD ↗ · 845-691-4035

$2.27BRegulatory AUM
8Advisory reps
19Employees
0Clients
1-10Planning clients
0Private funds
25States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
December 2025 — FOCUSED WEALTH MANAGEMENT, INC. shrank from 13 to 8 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
July 2025 — FOCUSED WEALTH MANAGEMENT, INC. notice-filed in DE, MO, NE, NH, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
71
April 2025 — FOCUSED WEALTH MANAGEMENT, INC. reported RAUM up 60% ($1.18B -> $1.89B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
November 2024 — FOCUSED WEALTH MANAGEMENT, INC.'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
85
April 2024 — FOCUSED WEALTH MANAGEMENT, INC. crossed $1B in regulatory AUM ($949.3M -> $1.18B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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