{"url":"https://nivawealth.com/firms/focus-investment-advisors-109970","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109970","regulatoryAum":956186841,"crd":"109970","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2283442","suffix":"JR","lastName":"FERRY","firstName":"HENRY","middleName":"JOSEPH"},{"crd":"5052501","suffix":null,"lastName":"LAM","firstName":"DAVID","middleName":"EVERETT"},{"crd":"7820692","suffix":null,"lastName":"Lam","firstName":"Jacqueline","middleName":"Marie"},{"crd":"5452067","suffix":null,"lastName":"RESTINE","firstName":"AMBER","middleName":"RENEE"},{"crd":"1302473","suffix":null,"lastName":"WASA","firstName":"ANDREW","middleName":"YORISATO"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-19","regulatoryAum":600352041,"clients":148,"employees":5,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":704464829,"clients":173,"employees":5,"offices":1},{"filedOn":"2023-05-01","regulatoryAum":684247412,"clients":185,"employees":5,"offices":1},{"filedOn":"2024-03-18","regulatoryAum":780217800,"clients":200,"employees":5,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":884989269,"clients":34,"employees":6,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":956186841,"clients":36,"employees":7,"offices":1}],"secFileNumber":"801-57176","legalName":"Focus Investment Advisors, Inc","displayName":"Focus Investment Advisors","slug":"focus-investment-advisors-109970","website":"https://focusinvestment.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/109970/eab19f4bd3d91100-r1.webp","tone":"light","width":337,"height":200,"sourceUrl":"https://www.focusinvestment.com","sourceLabel":"Focus Investment Advisors, INC, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/focus-investment-advisors-inc.","founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"514 Via De La Valle, Suite 200","city":"Solana Beach","state":"CA","stateName":"California","country":"United States","postalCode":"92075"},"tradeNames":[],"registration":{"secApproved":"10 April 2000","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":7,"advisory":4,"brokerDealerReps":4,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":956186841,"discretionary":469275694,"discretionaryAccounts":24,"nonDiscretionary":486911147,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":19},"clientTypes":[{"label":"Banking or thrift institutions","clients":1,"fewerThan5":true,"regulatoryAum":157736484},{"label":"Pension and profit-sharing plans","clients":35,"regulatoryAum":798450357}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":157736484}],"custodyNote":"Focus Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Andrew Wasa","title":"Partner/Chief Compliance Officer/CEO","crd":"1302473"},{"name":"Henry Ferry","title":"Partner/CFO","crd":"2283442"},{"name":"Amber Restine","title":"COO","crd":"5452067"}],"ownership":[{"label":"Andrew Wasa","detail":"Partner/chief compliance officer/ceo in the 50% to 75% ownership band and a control person, since March 1994."},{"label":"Henry Ferry","detail":"Partner/cfo in the 50% to 75% ownership band and a control person, since March 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"514 Via De La Valle, Suite 200","city":"Solana Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"760-230-1880","stateRegisteredReps":4,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["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)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"U.S. government/agency bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109970/PDF/109970.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Focus Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Focus Investment Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Focus Investment Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Focus Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Focus Investment Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Focus Investment Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Focus Investment Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Focus Investment Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}