Focus Advisory, Ltd.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$402,000
Total clients
0
Total advisors
1
of 2 employees
Firm size
Investment Manager
May not manage individual clients
Average clients per advisor
0
Average account size
—
About
The firm provides wealth management, discretionary investment management, financial planning, and trustee services to individuals, high-net-worth clients, trusts, estates, and businesses. Portfolios are implemented using exchange-traded funds, low-cost diversified mutual funds and, where appropriate, individual securities and legacy positions retained for tax or fit reasons.
Investment decisions are guided by Modern Portfolio Theory and fundamental analysis to establish strategic asset allocations, with a generally long-term orientation and periodic rebalancing; the advisor implements portfolios on a discretionary basis and may adjust holdings for tax harvesting, risk management, or cash needs. The firm also advises on retirement accounts and rollovers and acknowledges the fiduciary conflicts that can arise when rollovers would increase advisory relationships or fees.
Distinctive features include a single-principal structure led by a seasoned financial professional holding CFP and CPA/PFS credentials as well as a law degree, and the firm’s ability to serve as trustee — a role that can create custody of client assets and triggers regulatory surprise-examination requirements. The advisor maintains an institutional relationship with a major custodian (Schwab) that provides software, operational support and other economic benefits to the firm; the brochure discloses this arrangement and the potential conflict it creates.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Fee options
$0 - $1,000,000: 1.00% annually $1,000,001 - $3,000,000: 0.75% annually $3,000,001+: 0.50% annually
Account minimum: $1,000,000 (may be waived at Advisor's discretion) Fee-only: Fees based on assets under management; no commissions received.
Main office location
Focus Advisory, Ltd.
Gainesville GA, United States
Number of offices
1
Most active in
Focus Advisory, Ltd. has reported serving >5 clients in these states in the last 12 months.
Georgia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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