DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

F•••• 4•• •• G••••• L••

Institutional managerAddison, TexasCRD 172217SEC 801-80065websiteIAPD
Latest filing Jan 14, 2026
First filing on the tape Jul 2, 2014 · 19 filings
SEC status approved since Jul 11, 2014
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$170M as of Jan 14, 2026
Jan 13, 2015$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 14, 2026
Jan 13, 20152 then
Employees (5.A)2 as of Jan 14, 2026
Jan 13, 20152 then
Private funds: no history
RAUM +70% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 14, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$84.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$6.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+70%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$170M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
27reported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••••• R•••••• P•••••Addison, TxJul 12, 201433 y4
M•••••• J•• R•••••••••Addison, TxJul 12, 201434 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••• P••••••• R•••••• · Chief Compliance Officer/Membercontrol
      since 07/2014 · owns 50% to 75%
    • R••••••••• M••••••• J•• · Membercontrol
      since 07/2014 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Addison, Tx · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • RAUM up 50 %Change between filings · filing Jan 14, 2026
      RAUM (Item 5.F) moved from $99,828,000 to $169,876,000 (+70.0%) between the annual amendments of 2025-01-20 and 2026-01-14; the peer median change was +9.0% (93 comparable advisers, 97.0th percentile of changes)
      peers: institutional managers, $100M to $500M (93) · 97% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 21 to 27
      Jan 20, 2025 to Jan 14, 2026
    • Pension plan clients · 21 to 27
      Jan 20, 2025 to Jan 14, 2026
    • Discretionary RAUM · $99.8M to $170M
      Jan 20, 2025 to Jan 14, 2026
    • Pension RAUM · $99.8M to $170M
      Jan 20, 2025 to Jan 14, 2026
    • RAUM · $99.8M to $170M
      Jan 20, 2025 to Jan 14, 2026
    • Financial planning clients · unset to
      Jan 11, 2024 to Jan 20, 2025
    • Discretionary RAUM · $93.2M to $99.8M
      Jan 11, 2024 to Jan 20, 2025
    • Pension RAUM · $93.2M to $99.8M
      Jan 11, 2024 to Jan 20, 2025
    • RAUM · $93.2M to $99.8M
      Jan 11, 2024 to Jan 20, 2025
    • Discretionary RAUM · $77.5M to $93.2M
      Mar 7, 2023 to Jan 11, 2024
    • Pension RAUM · $77.5M to $93.2M
      Mar 7, 2023 to Jan 11, 2024
    • RAUM · $77.5M to $93.2M
      Mar 7, 2023 to Jan 11, 2024
    • Advisory activities · 2 to 1
      Jan 16, 2023 to Mar 7, 2023
    • Accounts · 28 to 21
      Jan 18, 2022 to Jan 16, 2023
    • Pension plan clients · 28 to 21
      Jan 18, 2022 to Jan 16, 2023
    • Discretionary RAUM · $97.8M to $77.5M
      Jan 18, 2022 to Jan 16, 2023
    • Pension RAUM · $97.8M to $77.5M
      Jan 18, 2022 to Jan 16, 2023
    • RAUM · $97.8M to $77.5M
      Jan 18, 2022 to Jan 16, 2023
    • Accounts · 22 to 28
      Jan 20, 2021 to Jan 18, 2022
    • Pension plan clients · 22 to 28
      Jan 20, 2021 to Jan 18, 2022
    • Discretionary RAUM · $91.0M to $97.8M
      Jan 20, 2021 to Jan 18, 2022
    • Pension RAUM · $91.0M to $97.8M
      Jan 20, 2021 to Jan 18, 2022
    • RAUM · $91.0M to $97.8M
      Jan 20, 2021 to Jan 18, 2022
    • Accounts · 3 to 22
      May 6, 2020 to Jan 20, 2021
    • Pension plan clients · 3 to 22
      May 6, 2020 to Jan 20, 2021
    • Discretionary RAUM · $2.0M to $91.0M
      May 6, 2020 to Jan 20, 2021
    • Pension RAUM · $2.0M to $91.0M
      May 6, 2020 to Jan 20, 2021
    • RAUM · $2.0M to $91.0M
      May 6, 2020 to Jan 20, 2021
    • Accounts · 1 to 3
      Jan 16, 2019 to Jan 17, 2020
    • Pension plan clients · 60 to 3
      Jan 16, 2019 to Jan 17, 2020
    • Discretionary RAUM · $400,000 to $2.0M
      Jan 16, 2019 to Jan 17, 2020
    • Pension RAUM · $400,000 to $2.0M
      Jan 16, 2019 to Jan 17, 2020
    • RAUM · $400,000 to $2.0M
      Jan 16, 2019 to Jan 17, 2020
    • Accounts · unset to 1.0
      Jan 18, 2018 to Jan 16, 2019
    • Pension plan clients · 63 to 60
      Jan 18, 2018 to Jan 16, 2019
    • Discretionary RAUM · unset to 400000.0
      Jan 18, 2018 to Jan 16, 2019
    • Non-discretionary RAUM · unset to 0.0
      Jan 18, 2018 to Jan 16, 2019
    • Pension RAUM · unset to 400000.0
      Jan 18, 2018 to Jan 16, 2019
    • RAUM · unset to 400000.0
      Jan 18, 2018 to Jan 16, 2019
    • Pension plan clients · unset to 63.0
      Jan 11, 2017 to Jan 18, 2018
    Signals
    1 dated events
    • F•••• 4•• •• G••••• L•• filed its initial SEC registration (Form ADV)
      Jul 2, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/focus-401-k-groupreportedpublic record, Form ADV, Sep 18, 2026
    Website
    w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    214-373-4113reportedpublic record, Form ADV, Jan 14, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Institutional managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $84.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026