Who Are We?

Focus Financial is a registered investment advisory firm with 118 independent financial advisors practicing in 53 branch offices across seven states. Headquartered in Minneapolis, MN, our company manages over $4.9 billion in assets and has been consistently recognized as a top investment management firm in the Twin Cities.

A Dependable Resource

Whether you’re just getting started as an independent financial planning advisor, looking to grow your practice, or creating a succession plan for your future, we support you through every step of your career. Tap into our vast network of financial planning professionals for support and inspiration to supplement your business’s offerings and prepare for the future.

A Platform for Success

Joining the Focus Financial network gives you access to the boutique feel of our advisor-focused firm with the experienced support of one of the country’s largest asset management companies. As a Focus Financial independent financial advisor, you will have access to our exclusive registered investment advisory platform to help you better serve your clients and more efficiently run your practice. With no product channeling of any kind, you’ll always have the freedom to make the right decisions for your business and provide your clients individualized financial planning advice.

An Expert Support System

Above all else, we seek to be an advocate for our financial planning advisors. Each member of Focus Financial’s executive board maintains their own financial planning practice and understands the many challenges independent financial advisors face. Focus Financial’s continued commitment to our team of advisors has placed us among the top-ranking financial planning firms within Royal Alliance and across the broker/dealer network of Advisor Group.

Let us better support you, so you can better serve your clients.

How We Support Our Advisors

At Focus Financial, we are committed to providing the best client-oriented, independent financial advice within the industry. This starts with taking care of our network of independent financial advisors first. Everyday, we strive to provide the most comprehensive support and beneficial resources to help you better serve your clients and grow your practice at every stage of your career.

Your Practice Transition

Transitioning your practice with Focus Financial is easy and efficient!

Trust our Business Development Department to help create your personalized transition plan and guide you through the process with individualized services that fit your specific needs while minimizing disruption to your practice.

Joining our network of independent financial advisors provides you with a host of benefits unavailable at other asset management companies. Let our Compliance Department manage your practice’s tedious supervisory responsibilities and have more time to focus on serving your clients. Our Registered Investment Advisory Platform gives you full discretion, two low-fee platforms to choose from, and the freedom to set your own fee structure (hourly, on retainer, or by plan).

Growing Your Practice

Develop your brand, leverage your messaging, and grow your financial planning business with our Marketing Communications Department. With access to thousands of pre-approved marketing materials, we will work with you to customize and implement a professional client communications plan. Through tailored support and continual guidance, we’ll build an individualized marketing plan that reinforces your current efforts and provides new tools to take your practice to the next level.

Planning Your Succession

Prepare for your future with our succession planning services for independent financial advisors. We’ve successfully developed and executed a variety of successions and are ready to help you take the next steps in your career. For those interested in selling their financial planning practice, we offer exclusive Buy-Sell Agreements and provide you with an honest valuation of your company’s assets.

Email Chris Carlson at to ask about succession planning and how you can receive a valuation of your practice.

Learn How Our Successful Practice Transitions Make The Difference

Get an accurate picture of what to expect and how to get started with planning your transition to an independent financial advisor.

Many firms only offer support to help re-paper an advisor’s book of business, but we know there’s much more to an effective transition that simply re-papering your assets.  Before an advisor affiliates with us, we make sure we provide an accurate picture of what to expect before, during and after a transition.

As part of this service, we provide a consultation to give you clear expectations for your transition. This consultation will answer your questions, address your concerns, and lay the groundwork for your next steps. Our practice transition consultations will cover:

  • An overview of the whole process and the expected amount of time needed to complete the transition.
  • What to expect in terms of client and asset retention.
  • The training and support you should expect before, during, and after the transition.
  • The resources available for your growth and practice development.
  • Ideas on how to communicate the move to your clients and what this means to them.
  • Your expected payout, expenses, and net income after the transition.

We want to provide you with an honest perspective on what life will be like for you here if you decide to make the move and affiliate with Focus Financial.

Contact Chris Carlson at to schedule your transition consultation.

What Our Advisors Say About Us

Jay Ennis: Des Moines, IA, Joined Focus Financial in 2018                           
I wanted to tell you more about my experience working with the team at Focus Financial while I was also speaking with other firms.  They were by far the most professional.  They were pleasantly persistent, always professional, and called when they said they would, including extra calls just to touch base to see if there were any questions they could answer for me.

Another extremely important factor in my decision, was the way they communicated the values embedded in the culture of Focus Financial, as well as Royal Alliance.  Commitment to the client by helping make it easy for advisors to serve their clients was the most appealing, overriding principle.  Their team conveyed this with a calm sincerity which convinced me it was true and helped me trust what they were saying.  I was really pleased with the entire process and feel strongly that I’ve found a place that shares my values and priorities much more than has been my experience the last several years.

Brad Davis: Le Sueur, MN, Joined Focus Financial in 2016
We explored many options before changing firms and broker/dealer. We could not be happier in our choice to join Focus Financial! The team at Focus has delivered on their promises and gone above and beyond to give us a smooth transition and a warm welcome to our team. This feels like home, and we are grateful to be here. Thanks to everyone at Focus who made this possible.

Matt Krajniak: Naperville, IL, Joined Focus Financial in 2016
I have only one regret with my decision to move to Focus Financial, which is that I didn’t decide to do it sooner. I had never been affiliated with a company outside of my previous firm, where I spent years building my career from scratch. It was tough for me to imagine finding a new environment that would benefit both me and my client base. From helping me plan my client transitions to executing on commitments, the team at Focus Financial continued to go above and beyond my expectations. Furthermore, when my wife/business partner and I were able to meet other advisors from Focus Financial’s network in person, we realized we had not felt such a sense of belonging in years. It may have taken nearly 11 years, but we’ve found a place our growing practice can call home.

Sean Kimberley: Urbandale, IA, Joined Focus Financial in 2015
The timeline of my affiliation with Focus Financial didn’t come through a traditional path, and yet the transition experience has far exceeded my expectations. After 20 years in this business, I don’t need much attention, but the attention I have received has all been beneficial. Focus Financial has a phenomenal value-added proposition in its recruiting and transition team. They know their business forwards and backwards, and that level of skill gave them the wherewithal to act quickly when they saw the potential for a new business opportunity for me in my geographic location. That high level of engagement, and the support to act on it, is something I never had before and that I’m grateful to have now.



Meet Our Team


Kyle Watkins, CFP®
Executive Officer

Michael S. Dales, AAMS®
Executive Officer
Bill Bergstrom, CFP®
Executive Officer
John Layton, CFP®
Executive Officer
Dave Heitkamp, CFP®
Executive Officer
John Dritz, AAMS®
Senior Officer
John Bina

Managerial Staff:

Take the Next Step

Email Chris Carlson at, or call 651-379-3913 to learn more about how we can serve you and how to transition to our registered investment advisory firm.

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