Focus 401 (K) Group provides pension consulting.
Focus 401 (K) Group reports 27 pension and profit-sharing plans. Of its assets, 100.0% ($170M across 27 accounts) are managed with discretion. It advised 18 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Pension and profit-sharing plans | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Pension and profit-sharing plans | 27 | $170M | 100.0% | $6.29M |
| Total | 27 | $170M | 100% | $6.29M |
- Clients
- 27
- Regulatory AUM
- $170M
- AUM share
- 100.0%
- Avg. per client
- $6.29M
Total
- Clients
- 27
- Regulatory AUM
- $170M
- AUM share
- 100%
- Avg. per client
- $6.29M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 18
- Private funds advised
- 0
Focus 401 (K) Group is paid through a percentage of assets under management and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
Phillip Powers owns 50% to 75% of Focus 401 (K) Group. The leadership team of Focus 401 (K) Group includes Chief Compliance Officer Phillip Powers. It has 2 employees.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 50% to 75% of Focus 401 (K) Group, LLC
Phillip Powers
Control person · since July 2014
- Owns 50% to 75% of Focus 401 (K) Group, LLC
Michael Rubenstein
Control person · since July 2014
Focus 401 (K) Group’s regulatory assets grew 1.9× from $91M (January 2021) to $170M (January 2026); clients rose from 22 to 27 and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jan 2026January 2026 | $170M | 27 | 2 | 1 |
| Jan 2025January 2025 | $99.8M | 21 | 2 | 1 |
| Jan 2024January 2024 | $93.2M | 21 | 2 | 1 |
| Mar 2023March 2023 | $77.5M | 21 | 2 | 1 |
| Jan 2022January 2022 | $97.8M | 28 | 2 | 1 |
| Jan 2021January 2021 | $91M | 22 | 2 | 1 |
Besides its headquarters, Focus 401 (K) Group has 0 offices, with 1 listed address in 1 state.
Texas · 1 listed address
- 16415 Addison Road, Suite 312, AddisonHQ
Contact and registration details
- Legal name
- Focus 401 (K) Group, LLC
- Headquarters
- 16415 Addison Road, Suite 312, Addison, TX 75001
- Website
- focus401kgroup.com
- Phone
- 214-373-4113
- @focus-401-k-group
- SEC file
- 801-80065
- Structure
- Texas LLC
- Fiscal year end
- December
Focus 401 (K) Group’s named custodians for separately managed accounts include Reliance Trust ($79M, 47%), Fidelity ($33.4M, 20%) and Mid Atlantic Trust ($19.5M, 12%). Focus 401 (K) Group does not have custody of client assets.
- Mid Atlantic TrustMid Atlantic Trust · Pittsburg, PA · $19.5M12%
- Reliance TrustReliance Trust Company · Atlanta, GA · $79M47%
- FidelityFidelity Management Trust Company · Boston, MA · $33.4M20%
- Ascensus TrustAscensus Trust · Fargo, ND · $9.56M6%
- FidelityMassachusetts Fidelity Trust · Cedar Rapids, IA · $3.04M2%
- OtherPrincipal Trust, Empower, Vestwell Trust15%
At year end, Focus 401 (K) Group’s separately managed accounts were mostly in funds (100%).
What the accounts hold
- Funds100%
- Registered funds60%
- Pooled vehicles40%
How many clients does Focus 401 (K) Group have?
Focus 401 (K) Group has 27 clients and manages $170 million for them, as of January 2026. They include 27 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 14 January 2026
What services does Focus 401 (K) Group offer?
Focus 401 (K) Group provides pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Focus 401 (K) Group use?
Focus 401 (K) Group’s separately managed account assets are held at Reliance Trust Company (Atlanta, GA), with $79M, Fidelity Management Trust Company (Boston, MA), with $33.4M, Mid Atlantic Trust (Pittsburg, PA), with $19.5M, Empower Trust (Denver, CO), with $15.3M, Ascensus Trust (Fargo, ND), with $9.56M, Principal Trust Company (Des Moines, IA), with $5.5M, Vestwell Trust Company (New York, NY), with $4.51M and Massachusetts Fidelity Trust (Cedar Rapids, IA), with $3.04M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 January 2026
How many financial advisors does Focus 401 (K) Group have?
Focus 401 (K) Group has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Focus 401 (K) Group invest in?
At the end of its last fiscal year, Focus 401 (K) Group’s separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs) and 40% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Focus 401 (K) Group?
Focus 401 (K) Group’s direct owners are Phillip Powers (50% to 75%) and Michael Rubenstein (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 14 January 2026
How does Focus 401 (K) Group get paid?
Focus 401 (K) Group is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Focus 401 (K) Group?
Focus 401 (K) Group’s main office is at 16415 Addison Road, Suite 312, Addison, TX 75001. Its phone number is 214-373-4113. Its website is focus401kgroup.com.