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FOCUSED WEALTH MANAGEMENT, INC.
CRD 154828File 801-71860
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 23, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.27B
Top 25% of cohort (national)
Discretionary AUM
$1.94B
Non-discretionary $325.0M
Clients
2,333
5,733 accounts
Employees
19
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 5, 2010
- Principal office
- 11 BALMVILLE RD., SUITE 2 NORTH, NEWBURGH, NY, 12550-1911
- Phone
- 845-691-4035
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.27B
- Discretionary AUM
- $1.94B
- Non-discretionary AUM
- $325.0M
- Discretionary accounts
- 5,726
- Non-discretionary accounts
- 7
- Total accounts
- 5,733
- AUM per client
- $972K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 23 | $396.5M |
| Charitable organizations | 7 | $5.7M |
| High net worth individuals | 296 | $816.0M |
| Pension and profit sharing plans | 133 | $602.2M |
| State or municipal government entities | 7 | $11.8M |
| Individuals (other than high net worth individuals) | 1,867 | $436.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 2,117 | 2,333 | increased by216 |
| Apr 1, 2026 | AUM | $1,890,919,902 | $2,268,833,800 | increased by$377,913,898 |
| Apr 1, 2026 | Accounts | 5,215 | 5,733 | increased by518 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 14 | 19 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,613 | 2,117 | increased by504 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,091,076,752 | $1,890,919,902 | increased by$799,843,150 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,613 | 5,215 | increased by3,602 |
| Apr 1, 2022 | Employees | 16 | 14 | decreased by2 |
| Apr 1, 2022 | Clients | 1,572 | 1,613 | increased by41 |
| Apr 1, 2022 | AUM | $912,107,553 | $1,091,076,752 | increased by$178,969,199 |
| Apr 1, 2022 | Accounts | 1,572 | 1,613 | increased by41 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FOCUSED WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FOCUSED WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.