Focus Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Focus Investment Advisors reports 36 clients. They include 35 pension and profit-sharing plans and 1 banking or thrift institution. Of its assets, 49.1% ($469M across 24 accounts) are managed with discretion; $487M across 10 accounts are not. It advised 19 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Banking or thrift institutions | 3% | 16% |
| Pension and profit-sharing plans | 97% | 84% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Banking or thrift institutions | Fewer than 5 | $158M | 16.5% | $158M |
| Pension and profit-sharing plans | 35 | $798M | 83.5% | $22.8M |
| Total | 36 | $956M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $158M
- AUM share
- 16.5%
- Avg. per client
- $158M
- Clients
- 35
- Regulatory AUM
- $798M
- AUM share
- 83.5%
- Avg. per client
- $22.8M
Total
- Clients
- 36
- Regulatory AUM
- $956M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 19
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Focus Investment Advisors 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.
Andrew Wasa owns 50% to 75% of Focus Investment Advisors. The leadership team of Focus Investment Advisors includes Chief Compliance Officer Andrew Wasa. It has 7 employees, 4 of them in advisory roles.
Leadership
- Andrew WasaPartner/Chief Compliance Officer/CEO
- Henry FerryPartner/CFO
- Amber RestineCOO
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
- Henry Joseph Ferry JR
- David Everett Lam
- Jacqueline Marie Lam
- Amber Renee Restine
- Andrew Yorisato Wasa
Staff
- 7 employees
- 4 in advisory functions
- 4 state-registered reps
- 4 broker-dealer reps
- Owns 50% to 75% of Focus Investment Advisors, Inc
Andrew Wasa
Control person · since March 1994
- Owns 50% to 75% of Focus Investment Advisors, Inc
Henry Ferry
Control person · since March 1994
Focus Investment Advisors’ regulatory assets grew 1.6× from $600M (April 2021) to $956M (March 2026); clients fell from 148 to 36 and employees rose from 5 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $956M | 36 | 7 | 1 |
| March 2025 | $885M | 34 | 6 | 1 |
| March 2024 | $780M | 200 | 5 | 1 |
| May 2023 | $684M | 185 | 5 | 1 |
| March 2022 | $704M | 173 | 5 | 1 |
| April 2021 | $600M | 148 | 5 | 1 |
Besides its headquarters, Focus Investment Advisors has 0 offices, with 1 listed address in California.
California · 1 listed address
- 514 Via De La Valle, Suite 200, Solana BeachHQ
Contact and registration details
- Legal name
- Focus Investment Advisors, Inc
- Headquarters
- 514 Via De La Valle, Suite 200, Solana Beach, CA 92075
- Website
- focusinvestment.com
- Phone
- 760-230-1880
- @focus-investment-advisors-inc.
- SEC file
- 801-57176
- Structure
- California corporation
- Fiscal year end
- December
Focus Investment Advisors uses LPL Financial ($158M) as custodian for its separately managed accounts. Focus Investment Advisors does not have custody of client assets.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $158M100%
At year end, Focus Investment Advisors’ separately managed accounts were mostly in funds (60%) and stocks (25%).
What the accounts hold
- Stocks25%
- Funds60%
- Bonds5%
- Cash10%
How many clients does Focus Investment Advisors have?
Focus Investment Advisors has 36 clients and manages $956 million for them, as of March 2026. They include 35 pension and profit-sharing plans and 1 banking or thrift institution.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Focus Investment Advisors offer?
Focus Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Focus Investment Advisors use?
Focus Investment Advisors’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $158M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Focus Investment Advisors have?
Focus Investment Advisors has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 0 employees are 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 Investment Advisors invest in?
At the end of its last fiscal year, Focus Investment Advisors’ separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 10% cash and equivalents and 5% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Focus Investment Advisors?
Focus Investment Advisors’ direct owners are Andrew Wasa (50% to 75%) and Henry Ferry (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Focus Investment Advisors get paid?
Focus Investment Advisors 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 Investment Advisors?
Focus Investment Advisors’ main office is at 514 Via De La Valle, Suite 200, Solana Beach, CA 92075. Its phone number is 760-230-1880. Its website is focusinvestment.com.