SourcingSourcing

FOCUS 401 (K) GROUP, LLC

A71
CRD 172217·SEC 801-80065·ADDISON, TX
AUM
$169.9M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$510K
@ 30% margin
Est. Deal Value
$4.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FOCUS 401 (K) GROUP, LLC
CRD
172217
SEC file #
801-80065
EIN
—
DBA names
—

Economics

AUM
$169.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$400K → $169.9M▲ +42369%
Client mix
Pension Profit Sharing Plans27

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
ADDISON TX
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Pension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
01/14/2026
ADV-W filed at
—
Website
focus401kgroup.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
POWERS, PHILLIP, RUSSELL
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
POWERS, PHILLIP, RUSSELL
RUBENSTEIN, MICHAEL, JAY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FOCUS401KGROUP.COM
Rdap Domain Creation Date
2010-10-04T15:44:26Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
167,848
Form 5500 Compensation Trajectory 3y
2025167,848
Form 5500 Plan Count Trajectory 3y
20253
Schedule C Total Compensation
167,848
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-04T15:44:26Z
Rdap Domain Last Changed
2024-11-05T03:17:59Z
Rdap Nameservers
Ns1.beartech.netNs2.beartech.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1400797
Trust Company Affiliate
No

People (2)

2
RUBENSTEIN, MICHAEL, JAY
IAR · Direct Owner · 62.5%
2112298
POWERS, PHILLIP, RUSSELL
IAR · Direct Owner · 62.5%
1400797