Focused Trading And Investments, Inc.
- Regulatory AUM
- $10.0K
- Discretionary
- $10.0K
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 5
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 18, 2024
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 | $10.0K | 100.0% |
People (1)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gray, Steven, Dwight | President, Ceo And Cco | Jul 2017 (9y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/18/2024 | 858 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Other fees
- • MONTHLY SUBSCRIPTION FEE (NOT FOR A NEWSLETTER OR PERIODICAL)
Services
- • Portfolio management for individuals/small businesses
- • Market timing services
Custody
Reported custodians
- Interactive Brokers $10.0K (100% of AUM) Feb 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 18, 2024.
View current Form ADV (SEC/IAPD) ↗