Focused Wealth Management, Inc.

Focused Wealth Management provides discretionary and non‑discretionary investment management, financial planning, and consultation services to a broad client base that includes individual and high‑net‑worth clients, charities, municipal entities, pension funds, endowments, and corporations. The firm offers portfolio management through both third‑party programs (Osaic’s Financial Advisors Program) and its proprietary wrap fee program, and it also provides advice on annuities and insurance products through affiliated insurance agents.

Investment decisions are guided by an Investment Management Committee that uses proprietary and quantitative screening to select ETFs, mutual funds, individual equities, and bonds, with quarterly monitoring and periodic rebalancing; the firm documents suitability reviews and may implement margin and options strategies where appropriate. Financial planning is offered on a modular or comprehensive basis (hourly or fixed fees), and accounts are reviewed at least annually with more frequent review triggered by material changes in client circumstances or market conditions.

Compared with many multi‑team firms, Focused Wealth manages a relatively large number of clients across a compact advisory team (over 2,100 clients with 11 advisors), and it explicitly lists municipal entities and municipal securities among its client types and service offerings. The brochure also discloses referral/promoter arrangements and broker‑dealer and insurance affiliations that create potential conflicts of interest, and it notes a recent SEC consent order (September 24, 2024) relating to off‑channel communications that the firm says it has remediated.