FOCUS FINANCIAL of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 116140). Regulatory assets under management: $6.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Evan Alfred Chang | CHIEF COMPLIANCE OFFICER | Minneapolis, MN |
| John Gregory Bina | PRESIDENT; PRESIDENT: CHIEF COMPLIANCE OFFICER | — |
| John Kyle Watkins | SHAREHOLDER:DIRECTOR | — |
| John Patrick Layton | SHAREHOLDER:DIRECTOR | — |
| David Kenneth Heitkamp | SHAREHOLDER:DIRECTOR | — |
| John Harris Dritz | SHAREHOLDER:DIRECTOR:TREASURER | — |
| David William Beissler | SHAREHOLDER:DIRECTOR | — |
| William Robert Bergstrom | SHAREHOLDER:DIRECTOR | — |
| Walter Edward Pickup | SHAREHOLDER:DIRECTOR | — |
| Christina Chaconas | VP OPERATIONS | — |
| Michael Scott Dales | SHAREHOLDER | — |
| Matthew David Nelson | SHAREHOLDER:DIRECTOR | — |
| Stephanie Elise Hartmann | CHIEF COMPLIANCE OFFICER | — |
| NELSON DENNIS DAVID | EXECUTIVE OFFICER/OWNER; OWNER; SHAREHOLDER:DIRECTOR | — |
| BERGSTROM WILLIAM ROBERT | EXECUTIVE OFFICER; EXECUTIVE OFFICER/OWNER; SHAREHOLDER:DIRECTOR | — |
| WATKINS JOHN KYLE | EXECUTIVE OFFICER; EXECUTIVE OFFICER/OWNER; SHAREHOLDER:DIRECTOR | — |
| LAYTON JOHN PATRICK | EXECTIVE OFFICER; EXECUTIVE OFFICER/OWNER; SHAREHOLDER:DIRECTOR | — |
| HEITKAMP DAVID KENNETH | EXECUTIVE OFFICER; EXECUTIVE OFFICER/OWNER; SHAREHOLDER:DIRECTOR | — |
| DALES MICHAEL SCOTT | EXECUTIVE OFFICER; EXECUTIVE OFFICER/OWNER | — |
| DRITZ JOHN HARRIS | EXECUTIVE OFFICER/OWNER; SENIOR OFFICER; SHAREHOLDER:DIRECTOR:TREASURER | — |
| BINA JOHN GREGORY | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| BEISSLER DAVID WILLIAM | EXECUTIVE OFFICER/OWNER; OWNER; SHAREHOLDER:DIRECTOR | — |
| PICKUP WALTER EDWARD | EXECUTIVE OFFICER/OWNER; OWNER; SHAREHOLDER | — |
| HARTMANN STEPHANIE ELISE | CHIEF COMPLIANCE OFFICER | — |
| Chaconas Christina | VP OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-17 | regulatory | FIRM HAD INVESTMENT DISCRETION OVER AT LEAST $100 MILLION OF REPORTABLE SECURITIES AND FAILED TO FILE QUARTERLY FORMS 13F. | Final | $475K |