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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Sean C Brooks

Advisor at FOCUS ADVISOR SOLUTIONS, LLC

BLOOMINGDALE, IL | ST. LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a77334d9-ebc6-635c-c9d2-a93de5f32222

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOCUS ADVISOR SOLUTIONS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 16, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 16, 2010
First registration: Oct 25, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5770872

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOCUS ADVISOR SOLUTIONS, LLC	Independent wealth	Dec 14, 2018	n/a	yes	BLOOMINGDALE, IL\|ST. LOUIS, MO	Current employment
LWI FINANCIAL INC.	Former SEC adviser	Jul 5, 2017	Dec 14, 2018	no	Bloomingdale, IL\|SAN JOSE, CA	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Oct 25, 2011	Jun 16, 2017	no	CONCORD, CA\|Bloomingdale, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LWI FINANCIAL INC.	FOCUS ADVISOR SOLUTIONS, LLC	Dec 14, 2018	Dec 14, 2018	0	Firm change	Ibd to RIA
ASSETMARK, INC.	LWI FINANCIAL INC.	Jun 16, 2017	Jul 5, 2017	19	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111861:143319:CA:2018-12-13	Dec 14, 2018	Dec 14, 2018	SAN JOSE, CA	Firm change

Relationships

Registered with (3)

→ FOCUS ADVISOR SOLUTIONS, LLCRegistered adviserregistration: current employment
Dec 14, 2018 to presentfactForm ADV
→ LWI FINANCIAL INC.Registered adviserregistration: previous registration
Jul 5, 2017 to Dec 14, 2018factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Oct 25, 2011 to Jun 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a77334d9-ebc6-635c-c9d2-a93de5f32222
First observed: Oct 25, 2011
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Sean C Brooks

Advisor at FOCUS ADVISOR SOLUTIONS, LLC

BLOOMINGDALE, IL | ST. LOUIS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a77334d9-ebc6-635c-c9d2-a93de5f32222

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

FOCUS ADVISOR SOLUTIONS, LLC

Independent wealth

Dec 14, 2018

n/a

yes

BLOOMINGDALE, IL|ST. LOUIS, MO

Current employment

LWI FINANCIAL INC.

Former SEC adviser

Jul 5, 2017

Dec 14, 2018

Bloomingdale, IL|SAN JOSE, CA

Previous registration

ASSETMARK, INC.

Bd affiliated wealth

Oct 25, 2011

Jun 16, 2017

CONCORD, CA|Bloomingdale, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

LWI FINANCIAL INC.

FOCUS ADVISOR SOLUTIONS, LLC

Dec 14, 2018

Firm change

Ibd to RIA

ASSETMARK, INC.

LWI FINANCIAL INC.

Jun 16, 2017

Jul 5, 2017

Firm change

Other

Team

Left

Joined

From

Kind

111861:143319:CA:2018-12-13

Dec 14, 2018

SAN JOSE, CA

Firm change