FOCUSED WEALTH MANAGEMENT, INC. of NEWBURGH, NY is an SEC-registered investment adviser (CRD 154828). Regulatory assets under management: $2.3B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Philip Joseph Deangelo | MANAGING DIRECTOR | — |
| Jacob Michael Brett | SENIOR VICE PRESIDENT | — |
| Zachary Michael Manheim | CHIEF COMPLIANCE OFFICER | — |
| Brett Lee Howard | ASSIST. EXECUTIVE DIRECTOR/CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | — |
| Barry Howard Brett | CHIEF COMPLIANCE OFFICER | — |
| BRETT JOHN MICHAEL | SENIOR VICE PRESIDENT | — |
| DEANGELO PHILIP JOSEPH | MANAGING DIRECTOR; PRINCIPAL | — |
| SCHULMAN MONIQUE | CHIEF COMPLIANCE OFFICER | — |
| WITTENBERG JULIE ANN | CHIEF OPERATING OFFICER | — |
| TIMPERIO SALVATORE JOSEPH | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | FWM ENTERED INTO CONSENTED TO THE ENTRY OF AN ADMINISTRATIVE AND CEASE-AND-DESIST ORDER INSTITUTED BY THE SEC FINDING THAT FWM VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER BY FAILING TO MAINTAIN AND PRESERVE CERTAIN OFF-CHANNEL COMMUNICATIONS. THE ORDER FURTHER FOUND THAT… | Final | $325K |