Asset manager · Addison, TX
Focus 401 (k) Group, LLC
SEC-registered investment adviser · CRD 172217 · SEC 801-80065
At a glance
Focus 401 (k) Group, LLC is an SEC-registered investment adviser based in Addison, Texas, with $170 million in regulatory assets under management as of its Form ADV filed January 14, 2026. Its largest client group by assets is pension and profit sharing plans. By Form ADV it is a asset manager, ranked 2,175th of 3,218 asset managers and 13,086th of 17,210 SEC-registered advisers by assets.
Main office 214-373-4113focus401kgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $170M
- Rank among asset managers
- #2,175 of 3,218
- Rank among all SEC RIAs
- #13,086 of 17,210
- Rank in Texas
- #876 of 1,081
- Clients
- 27
- Accounts
- 27
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Phillip R. PowersChief Compliance Officer/member
- Michael J. RubensteinMember
Custody and brokerage
8 custodians
- Reliance Trust$79M47%
- Fidelity Management Trust$33M20%
- MID Atlantic Trust$20M12%
- Empower Trust$15M9%
- Ascensus Trust$10M6%
- Principal Trust$5M3%
- Vestwell Trust$5M3%
- Massachusetts Fidelity Trust$3M2%
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 27 | $170M | 100% |
Disciplinary disclosures
Focus 401 (k) Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗focus401kgroup.com ↗
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The full record on Focus 401 (k) Group, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 749 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Focus 401 (k) Group, LLC manage?
Focus 401 (k) Group, LLC reports $170 million in regulatory assets under management across 27 accounts, 100% of it on a discretionary basis, on its Form ADV filed January 14, 2026.
What kind of firm is Focus 401 (k) Group, LLC?
Focus 401 (k) Group, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Focus 401 (k) Group, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($170 million, 27 clients).
Does Focus 401 (k) Group, LLC have any disciplinary history?
Focus 401 (k) Group, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Focus 401 (k) Group, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-01-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →