Focused Capital Investment, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$5,960,176
Clients
42
Advisors
1
of 2 employees
About
Focused Capital Investment provides discretionary investment management and financial planning to individuals, high‑net‑worth clients, pension plans, and corporate or business clients. The firm constructs customized portfolios using mutual funds, ETFs, individual securities and limited partnerships, and offers planning at multiple complexity levels as well as one‑time planning projects.
The firm’s investment process is primarily long‑term and grounded in fundamental analysis, supplemented by technical analysis and principles of modern portfolio theory; portfolios are monitored and rebalanced and may be adjusted to meet client objectives. Notably, the adviser uses options in separately managed accounts — including selling covered calls and cash‑secured puts and buying protective puts — while stating it does not employ margin or sell uncovered options.
Several operational practices distinguish the firm from many peers: it routinely accepts corporate/business clients and provides advisory services to pension plans, including ERISA‑related roles, which are less common among similar independent advisers. The firm requires custody at a single custodian through an institutional advisor program, discloses receipt of program benefits, and maintains a proprietary brokerage account with written trade‑aggregation and allocation policies, items clients should review for potential conflicts of interest.
Client services
Expertise
Fee options
One-time planning projects for a fixed fee of $2,000 to $15,000
$0 - $500,000: 1.25% $500,000.01 - $2,000,000: 0.70% $2,000,000.01 - $5,000,000: 0.65% $5,000,000.01+: 0.55%
Planning Minimum billed quarterly in advance; minimums vary by planning complexity level
Account minimum: $100,000 Minimum fee: Annual Planning Minimum based on client complexity: None for Core, $10,000 for Complex, $15,000+ for Family Office Fee-only: Fee-only; no commissions received from sale of securities or investment products
Main office
49 Straw Flower
Irvine CA 92620
Advisors at this office
1
Most active in
California · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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