Focused Capital Investment, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,960,176
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
42
43% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
42
HighAverage account size
$141,909
About
Focused Capital Investment, LLC provides discretionary investment management and financial planning to individuals, high-net-worth clients, and pension plans. Services include portfolio construction and ongoing supervision across mutual funds, ETFs, individual stocks and bonds, and limited partnership interests, with retirement-plan fiduciary advice when applicable.
The firm’s investment process is oriented toward long-term holding informed by fundamental analysis and modern portfolio theory, with tactical use of technical analysis and periodic rebalancing. It also uses options — specifically the sale of puts and calls in separately managed accounts — to generate income and potentially enhance returns, and may hold positions for shorter periods when client objectives or market conditions warrant.
Noteworthy differentiators relative to peers include the active use of derivatives within client accounts (an uncommon practice among similar firms) and participation in an institutional brokerage program that provides access to research and block-trading capabilities. The lead advisor’s ongoing teaching and tutoring in mathematics, personal finance and real estate investing informs the firm’s analytical approach, and the firm offers financial planning to certain clients at no additional charge.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Passive / index investing
Active portfolio management
Fee options
$0 - $499,999: 1.25% annually $500,000 - $999,999: 0.95% annually $1,000,000 - $1,999,999: 0.90% annually $2,000,000 - $4,999,999: 0.80% annually $5,000,000+: 0.75% annually
Main office location
Focused Capital Investment, LLC
49 Straw Flower
Irvine CA 92620, United States
Number of offices
1
Most active in
Focused Capital Investment, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas
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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