FOCS / Focus Financial Partners Inc - Class A - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

FOCS / Focus Financial Partners Inc - Class A / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Focus Financial Partners Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 34417P100 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropri

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-38604 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specifi

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION FOCUS FINANCIAL PARTNERS INC. ARTICLE One

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF FOCUS FINANCIAL PARTNERS INC. ARTICLE One The name of the Corporation is Focus Financial Partners Inc. (the “Corporation”). ARTICLE Two The address of the Corporation’s registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle, Delaware 19801. The name

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 31, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employ

As filed with the Securities and Exchange Commission on August 31, 2023

As filed with the Securities and Exchange Commission on August 31, 2023 Registration No.

FOCS / Focus Financial Partners Inc - Class A / Trident FFP LP - SC 13D/A Activist Investment

SC 13D/A 1 d529059dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P 100 (CUSIP Number) Jacqueline Giammarco Stone Point Capital LLC 20 Horseneck Lane

FOCUS FINANCIAL PARTNERS INC. AMENDED AND RESTATED BYLAWS As Adopted on August 31, 2023 FOCUS FINANCIAL PARTNERS INC. Table of Contents

Exhibit 3.2 FOCUS FINANCIAL PARTNERS INC. AMENDED AND RESTATED BYLAWS As Adopted on August 31, 2023 FOCUS FINANCIAL PARTNERS INC. BYLAWS Table of Contents Page Article I MEETINGS OF STOCKHOLDERS 1 Section 1.01. Annual Meetings 1 Section 1.02. Special Meetings 1 Section 1.03. Participation in Meetings by Remote Communication 1 Section 1.04. Notice of Meetings; Waiver of Notice 1 Section 1.05. Proxi

August 31, 2023

Exhibit 99.(b)(3) EXECUTION VERSION August 31, 2023 To: Ferdinand FFP Acquisition, LLC Amended and Restated Commitment Letter (the “Commitment Letter”) Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of February 27, 2023 (as the same may be amended, supplemented or otherwise modified from time to time, the “Merger Agreement”), by and among Ferdinand FFP Acquis

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 3 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Pa

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 3 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Partners Inc. Focus Financial Partners, LLC Ferdinand FFP Acquisition, LLC Ferdinand FFP Intermediate Holdings, LLC Ferdinand FFP Ultimate Holdings, LP

Clayton, Dubilier & Rice Completes Acquisition of Focus Financial Partners

Exhibit 99.1 Clayton, Dubilier & Rice Completes Acquisition of Focus Financial Partners NEW YORK, NY – August 31, 2023 – Focus Financial Partners Inc. ("Focus" or the "Company"), a leading partnership of independent, fiduciary wealth management firms, Clayton, Dubilier & Rice, LLC ("CD&R"), and Stone Point Capital LLC ("Stone Point") today announced that they have completed the previously announce

As filed with the Securities and Exchange Commission on August 31, 2023

As filed with the Securities and Exchange Commission on August 31, 2023 Registration No.

As filed with the Securities and Exchange Commission on August 31, 2023

As filed with the Securities and Exchange Commission on August 31, 2023 Registration No.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 4, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

Focus Financial Partners Reports Second Quarter 2023 Results

Exhibit 99.1 Focus Financial Partners Reports Second Quarter 2023 Results New York, New York – August 3, 2023 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for its second quarter ended June 30, 2023. Second Quarter 2023 Highlights · Total rev

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 14, 2023 FOCUS FINANCIAL PAR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 14, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2023 FOCUS FINANCIAL PART

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Pa

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Partners Inc. Focus Financial Partners, LLC Ferdinand FFP Merger Sub 1, Inc. Ferdinand FFP Merger Sub 2, LLC Ferdinand FFP Acquisition, LLC Ferdinand FF

(c)(3)∆ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated December 14, 2022. **

Exhibit 99.(c)(3) CONFIDENTIAL Presentation to Update on Project Ferdinand and Preliminary Valuation Discussion Materials December 14, 2022 1 CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board of Directors and senior management of Focus Financial Partners (the "Company") in conn

(c)(4)∆ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated December 16, 2022. **

Exhibit 99.(c)(4) CONFIDENTIAL Presentation to Update on Project Ferdinand and Preliminary Valuation Discussion Materials December 16, 2022 1 CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board of Directors and senior management of Focus Financial Partners (the "Company") in conn

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Pa

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Partners Inc. Focus Financial Partners, LLC Ferdinand FFP Merger Sub 1, Inc. Ferdinand FFP Merger Sub 2, LLC Ferdinand FFP Acquisition, LLC Ferdinand FF

(c)(9)+ Discussion Materials of Jefferies LLC for the Special Committee, dated February 25, 2023.

Exhibit 99.(c)(9) Jefferies LLC Member SIPC The information provided in this document, including valuation discussions, represents the views of Jefferies Investment Banking. There is no assurance that the views expressed herein will be consistent with the views expressed by Jefferies Research or its Analysts. Nothing in this document should be understood as a promise or offer of favorable research

Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) Focus Financial Partners Inc. (Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation

EX-FILING FEES 2 tm2312331d5ex-filingfees.htm EX-FILING FEES Exhibit 107 Exhibit Fee Table Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) Focus Financial Partners Inc. (Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee rate Amount of Filing Fee Fees to Be Paid $ 2,048,720.29 (1)(2) 0.0001102 $ 225.77 (2) Fe

875 Third Avenue, 28th Floor New York, NY 10022 (646) 519-2456

875 Third Avenue, 28th Floor New York, NY 10022 (646) 519-2456 www.focusfinancialpartners.com May 26, 2023 Division of Corporation Finance Office of Energy & Transportation United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3561 Attention: Michael Killoy & Perry Hindin Re:          Focus Financial Partners Inc. Schedule 13E-3 filed on April 25, 2023 by Focus

107∆ Filing Fee Table.

Exhibit 107 Exhibit Fee Table Calculation of Filing Fee Tables SCHEDULE 13E-3 (Form Type) Focus Financial Partners Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1)

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 1

(c)(10)¥ Discussion Materials of Jefferies LLC for the Board, dated February 26, 2023.

Exhibit 99.(c)(10) Jefferies LLC Member SIPC The information provided in this document, including valuation discussions, represents the views of Jefferies Investment Banking. There is no assurance that the views expressed herein will be consistent with the views expressed by Jefferies Research or its Analysts. Nothing in this document should be understood as a promise or offer of favorable researc

FOCS / Focus Financial Partners Inc - Class A / JPMORGAN CHASE & CO - FILING FOCUS FINANCIAL PARTNERS INC. Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 04)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) April 28, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropri

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 4, 2023 FOCUS FINANCIAL PARTN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 4, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer o

Focus Financial Partners Reports First Quarter 2023 Results Resilient Financial Performance and Strong M&A Momentum Despite Challenging Macro Environment

Exhibit 99.1 Focus Financial Partners Reports First Quarter 2023 Results Resilient Financial Performance and Strong M&A Momentum Despite Challenging Macro Environment New York, New York – May 4, 2023 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported resu

Focus Financial Partners Inc. First Quarter 2023 Earnings Release Supplement May 4 , 2023

Exhibit 99.2 Focus Financial Partners Inc. First Quarter 2023 Earnings Release Supplement May 4 , 2023 2 Disclaimer (1/2) Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or for

(d)(2)¥ Limited Guarantee, dated February 27, 2023, by Clayton, Dubilier & Rice Fund XII, L.P. in favor of Focus Financial Partners Inc.

Exhibit 99.(d)(2) EXECUTION VERSION LIMITED GUARANTEE This Limited Guarantee, dated as of February 27, 2023 (this “Limited Guarantee”), by Clayton, Dubilier & Rice Fund XII, L.P. (the “Guarantor”), is in favor of Focus Financial Partners Inc., a Delaware corporation (the “Guaranteed Party”). Capitalized terms used herein but not defined shall have the meanings given thereto in the Merger Agreement

(c)(8)¥ Discussion Materials of Jefferies LLC for the Board, dated January 4, 2023.

Exhibit 99.(c)(8) Jefferies LLC Member SIPC The information provided in this document, including valuation discussions, represents the views of Jefferies Investment Banking. There is no assurance that the views expressed herein will be consistent with the views expressed by Jefferies Research or its Analysts. Nothing in this document should be understood as a promise or offer of favorable research

(c)(6)¥ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated February 26, 2023.

Exhibit 99.(c)(6) HIGHLY CONFIDENTIAL Presentation to Project Ferdinand Special Committee Discussion Materials February 26, 2023 2 HIGHLY CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Special Committee of the Board of Directors and senior management of Focus Financial Partners (t

(b)(2)¥ Equity Commitment Letter, dated February 27, 2023, by and between Clayton, Dubilier & Rice Fund XII, L.P. and Ferdinand FFP Acquisition, LLC, is attached hereto as Exhibit (b)(2) and is incorporated herein by reference.

Exhibit 99.(b)(2) EXECUTION VERSION February 27, 2023 To: Ferdinand FFP Acquisition, LLC Commitment Letter (the “Commitment Letter”) Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of the date hereof (as the same may be amended, supplemented or otherwise modified from time to time, the “Merger Agreement”), by and among, Ferdinand FFP Acquisition, LLC, a Delawa

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Partners Inc. Focu

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 FOCUS FINANCIAL PARTNERS INC. (Name of the Issuer) Focus Financial Partners Inc. Focus Financial Partners, LLC Ferdinand FFP Merger Sub 1, Inc. Ferdinand FFP Merger Sub 2, LLC Ferdinand FFP Acquisition, LLC Ferdinand FFP Intermediate H

(c)(2)¥ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated November 23, 2022. **

Exhibit 99.(c)(2) CONFIDENTIAL Presentation to Update on Project Ferdinand and Preliminary Valuation Discussion Materials November 23, 2022 1 CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board of Directors and senior management of Focus Financial Partners (the "Company") in conn

(c)(9)+ Discussion Materials of Jefferies LLC for the Board, dated February 26, 2023.

Exhibit 99.(c)(9) Jefferies LLC Member SIPC The information provided in this document, including valuation discussions, represents the views of Jefferies Investment Banking. There is no assurance that the views expressed herein will be consistent with the views expressed by Jefferies Research or its Analysts. Nothing in this document should be understood as a promise or offer of favorable research

(d)(3)¥ Limited Guarantee, dated February 27, 2023, by Trident IX, L.P., Trident IX Parallel Fund, L.P. and Trident IX Professionals Fund, L.P. in favor of Focus Financial Partners Inc.

Exhibit 99.(d)(3) EXECUTION VERSION   LIMITED GUARANTEE   This Limited Guarantee, dated as of February  27, 2023 (this “Limited Guarantee”), by Trident IX, L.P., Trident IX Parallel Fund, L.P. and Trident IX Professionals Fund, L.P. (each, a “Guarantor” and, collectively, the “Guarantors”), is in favor of Focus Financial Partners Inc., a Delaware corporation (the “Guaranteed Party”). Capitalized t

(b)(3)¥ Equity Commitment Letter, dated February 27, 2023, by and between Trident IX, L.P., Trident IX Parallel Fund, L.P., Trident IX Professionals Fund, L.P. and Ferdinand FFP Acquisition, LLC, is attached hereto as Exhibit (b)(3) and is incorporated herein by reference.

Exhibit 99.(b)(3) EXECUTION VERSION February 27, 2023 To: Ferdinand FFP Acquisition, LLC Commitment Letter (the “Commitment Letter”) Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of the date hereof (as the same may be amended, supplemented or otherwise modified from time to time, the “Merger Agreement”), by and among Ferdinand FFP Acquisition, LLC, a Delawar

(c)(4)+ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated December 16, 2022. **

Exhibit 99.(c)(4) CONFIDENTIAL Presentation to Update on Project Ferdinand and Preliminary Valuation Discussion Materials December 16, 2022 1 CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board of Directors and senior management of Focus Financial Partners (the "Company") in conn

(c)(5)¥ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated February 25, 2023.

Exhibit 99.(c)(5) HIGHLY CONFIDENTIAL PRELIMINARY DRAFT Presentation to Project Ferdinand Special Committee Discussion Materials February 25, 2023 2 HIGHLY CONFIDENTIAL PRELIMINARY DRAFT Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Special Committee of the Board of Directors and senior manag

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi

Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) Focus Financial Partners Inc. (Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation

EX-FILING FEES 2 tm2312331d2ex-filingfees.htm EX-FILING FEES Exhibit 107 Exhibit Fee Table Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) Focus Financial Partners Inc. (Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee rate Amount of Filing Fee Fees to Be Paid $ 4,626,660,354.29 (1)(2) 0.0001102 $ 509,857.9

(c)(3)+ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated December 14, 2022. **

Exhibit 99.(c)(3) CONFIDENTIAL Presentation to Update on Project Ferdinand and Preliminary Valuation Discussion Materials December 14, 2022 1 CONFIDENTIAL Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board of Directors and senior management of Focus Financial Partners (the "Company") in conn

107+ Filing Fee Table.

Exhibit 107 Exhibit Fee Table Calculation of Filing Fee Tables SCHEDULE 13E-3 (Form Type) Focus Financial Partners Inc.

(c)(1)¥ Discussion Materials of Goldman Sachs & Co. LLC for the Special Committee, dated November 16, 2022.**

Exhibit 99.(c)(1) CONFIDENTIAL DRAFT – PRELIMINARY ANALYSIS Presentation to Update on Project Ferdinand and Review of Financial Projections November 16, 2022 Special Committee Discussion Materials 1 CONFIDENTIAL DRAFT – PRELIMINARY ANALYSIS Disclaimer These materials have been prepared and are provided by Goldman Sachs on a confidential basis solely for the information and assistance of the Board

(b)(1)¥ Debt Commitment Letter, dated February 27, 2023, by and among Ferdinand FFP Acquisition, LLC,, and Royal Bank of Canada, RBC Capital Markets, Truist Bank, Truist Securities, Inc., Citizens Bank, N.A., 32 MUFG Bank, Ltd., MUFG Union Bank, N.A., MUFG Securities Americas Inc., Fifth Third Bank, National Association, Bank of Montreal, BMO Capital Markets Corp. and Capital One, National Association, is attached hereto as Exhibit (b)(1) and is incorporated herein by reference.

Exhibit 99.(b)(1) Execution Version   ROYAL BANK OF CANADA 200 Vesey Street New York, New York 10281   TRUIST BANK TRUIST SECURITIES, INC. 3333 Peachtree Road Atlanta, Georgia 30326   CITIZENS BANK, N.A. 28 State Street Boston, Massachusetts 02109           MUFG 1221 Avenue of the Americas New York, New York 10020   FIFTH THIRD BANK, NATIONAL ASSOCIATION 222 S. Riverside Plaza, 30th Floor Chicago,

(d)(6)¥ Interim Investors Agreement, dated February 27, 2023, by and among Ferdinand FFP Ultimate Holdings, LP, its subsidiaries, Ferdinand FFP Acquisition, LLC and the other parties appearing on the signature pages thereto and any person that executes a joinder hereto in such capacity in accordance with the terms thereof.

Exhibit 99.(d)(6) EXECUTION VERSION INTERIM INVESTORS AGREEMENT This Interim Investors Agreement (this “Agreement”) is made as of February 27, 2023 by and among Ferdinand FFP Ultimate Holdings, LP, a Delaware limited partnership (“Topco” and, together with its Subsidiaries, the “Parent Parties”), Ferdinand FFP Acquisition, LLC, a Delaware limited liability company and indirect wholly owned subsidi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc. (E

Amendment No. 12 to First Lien Credit Agreement, dated as of March 30, 2023, by among Focus LLC, as borrower and Royal Bank of Canada, as term administrative agent

Exhibit 10.20 Execution Version AMENDMENT NO. 12 TO FIRST LIEN CREDIT AGREEMENT AMENDMENT NO. 12 under the First Lien Credit Agreement referred to below, dated as of March 30, 2023 (this “Amendment”), among FOCUS FINANCIAL PARTNERS, LLC, a Delaware limited liability company (together with its successors and assigns, the “Borrower”), ROYAL BANK OF CANADA, as term administrative agent (in such capac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State

Form of TRA Waiver and Exchange Agreement

Exhibit 10.2 Execution Version FORM OF TRA WAIVER AND EXCHANGE AGREEMENT This TRA Waiver and Exchange Agreement (the “Waiver Agreement”) is dated as of February [], 2023, and is by and among Focus Financial Partners Inc., a Delaware corporation (the “Company”), the undersigned Persons under the heading "Holder" on the signature pages hereto (collectively, the “Holder”), and Ferdinand FFP Parent, I

Agreement and Plan of Merger, dated as of February 27, 2023, by and among Focus Financial Partners Inc., Ferdinand FFP Acquisition, LLC, Ferdinand FFP Merger Sub 1, Inc., Ferdinand FFP Merger Sub 2, LLC, and Focus Financial Partners, LLC.

Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among FERDINAND FFP ACQUISITION, LLC, FERDINAND FFP MERGER SUB 1, INC. FERDINAND FFP MERGER SUB 2, LLC FOCUS FINANCIAL PARTNERS, LLC and FOCUS FINANCIAL PARTNERS INC. Dated as of February 27, 2023 TABLE OF CONTENTS Page Article I The Exchanges; the Mergers; Closing; Effective Times 3 1.1. The Exchanges 3 1.2. The Mergers 4 1.3. Clos

FOCS / Focus Financial Partners Inc - Class A / Trident FFP LP - SC 13D/A Activist Investment

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P 100 (CUSIP Number) Jacqueline Giammarco Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 (203) 862-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Support Agreement, dated as of February 27, 2023, by and among Trident FFP L.P., Trident VI, L.P., Trident VI Parallel Fund, L.P., Trident VI DE Parallel Fund, L.P., Focus Financial Partners Inc., and Ferdinand FFP Acquisition, LLC and certain of its affiliates.(2)

Exhibit 10.1 Execution Version SUPPORT AGREEMENT This Support Agreement (this “Agreement”), dated as of February 27, 2023, is entered into by and among the undersigned stockholders of the Company (the “Stockholders”), Ferdinand FFP Ultimate Holdings, LP, a Delaware limited partnership (“Topco Aggregator”), Ferdinand FFP Parent, Inc., a Delaware corporation and a direct, wholly owned subsidiary of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Focus Financial Partners to be Acquired by Clayton, Dubilier & Rice Stockholders to Receive $53 per Share in Cash

Exhibit 99.1 Focus Financial Partners to be Acquired by Clayton, Dubilier & Rice Stockholders to Receive $53 per Share in Cash New York, NY – February 27, 2023 – Focus Financial Partners Inc. (NASDAQ: FOCS) (“Focus” or the “Company”), a leading partnership of independent, fiduciary wealth management firms, Clayton, Dubilier & Rice, LLC (“CD&R”) and Stone Point Capital LLC (“Stone Point”) announced

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc. (Exa

Indemnification Agreement (Elizabeth R. Neuhoff)

EX-10.37 4 focs-20221231xex10d37.htm EX-10.37 Exhibit 10.37 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of March 7, 2022, by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and Elizabeth R. Neuhoff (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee coverin

Focus Financial Partners Inc. Fourth Quarter & Full Year 2022 Earnings Release Supplement February 16 , 2023

Exhibit 99.2 Focus Financial Partners Inc. Fourth Quarter & Full Year 2022 Earnings Release Supplement February 16 , 2023 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial cond

List of Subsidiaries of Focus Financial Partners Inc.

Exhibit 21.1 Legal Name of Entity Jurisdiction of Organization ABG Acquisition, LLC Delaware Acorn Insurance Agency, Inc. Massachusetts Adero Partners, LLC Delaware Alley Investment Management Company, LLC Delaware Alpha Advice Australia Pty Ltd Australia Alpha Asset Management Pty Ltd Australia Altman Greenfield & Selvaggi Partners, LLC Delaware Ancora Advisors LLC Nevada Ancora Alternatives LLC

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 16, 2023 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Focus Financial Partners Reports Fourth Quarter and Full Year 2022 Results Solid Full-Year Performance, Demonstrating Business Resiliency and Momentum Despite the Challenging Macro Environment

Exhibit 99.1 Focus Financial Partners Reports Fourth Quarter and Full Year 2022 Results Solid Full-Year Performance, Demonstrating Business Resiliency and Momentum Despite the Challenging Macro Environment New York, New York – February 16, 2023 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary

Indemnification Agreement (George S. LeMieux)

Exhibit 10.38 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of March 7, 2022, by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and George S. LeMieux (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement. RECITALS

Amendment No. 11 to First Lien Credit Agreement, dated as of December 9, 2022, by among Focus LLC, as borrower and Bank of America, N.A., as revolver administrative agent

Exhibit 10.19 AMENDMENT NO. 11 TO FIRST LIEN CREDIT AGREEMENT AMENDMENT NO. 11 under the First Lien Credit Agreement referred to below, dated as of December 9, 2022 (this “Amendment”), among FOCUS FINANCIAL PARTNERS, LLC, a Delaware limited liability company (together with its successors and assigns, the “Borrower”) and the Revolver Administrative Agent (as defined below). RECITALS WHEREAS, the Bo

Description of Securities registered under Section 12 of the Securities Exchange Act of 1934

Exhibit 4.2 DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Our authorized capital stock consists of 500,000,000 shares of Class A common stock, $0.01 par value per share, 500,000,000 shares of Class B common stock, $0.01 par value per share and 500,000,000 shares of preferred stock, $0.01 par value per share. Our Class A common stock are listed on the

FOCS / Focus Financial Partners Inc / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Focus Financial Partners Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 34417P100 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropri

FOCS / Focus Financial Partners Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0930-focusfinancialpartner.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Focus Financial Partners Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 34417P100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934

  UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Sta

FOCS / Focus Financial Partners Inc / Trident FFP LP - SC 13D/A Activist Investment

SC 13D/A 1 d439516dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P 100 (CUSIP Number) Jacqueline Giammarco Stone Point Capital LLC 20 Horseneck Lane

FOCS / Focus Financial Partners Inc / JPMORGAN CHASE & CO - FILING FOCUS FINANCIAL PARTNERS INC. Passive Investment

SC 13G/A 1 FocusFinancialPartnersI.htm FILING FOCUS FINANCIAL PARTNERS INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 03)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) December 30, 2022 (Date of

Waiver and Amendment No. 10 to First Lien Credit Agreement, dated as of November 28, 2022, among Focus Financial Partners, LLC, as borrower, Royal Bank of Canada, as term administrative agent, collateral agent and fronting bank, Bank of America, N.A., as revolver administrative agent, and the lenders party thereto.

Exhibit 10.1 Execution Version WAIVER AND AMENDMENT NO. 10 TO FIRST LIEN CREDIT AGREEMENT dated as of November 28, 2022, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, ROYAL BANK OF CANADA, as Term Administrative Agent, Collateral Agent and Fronting Bank, and BANK OF AMERICA, N.A., as Revolver Administrative Agent and a Letter of Credit Issuer RBC CAPITAL MARKETS,*

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 28, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Focus Financial Partners Inc. Third Quarter 2022 Earnings Release Supplement November 3 , 2022

Exhibit 99.2 Focus Financial Partners Inc. Third Quarter 2022 Earnings Release Supplement November 3 , 2022 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or fore

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 3, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emplo

Focus Financial Partners Reports Third Quarter 2022 Results Results Reflect Benefits of Diversified Revenues and Structural Earnings Protections in Volatile Markets

Exhibit 99.1 Focus Financial Partners Reports Third Quarter 2022 Results Results Reflect Benefits of Diversified Revenues and Structural Earnings Protections in Volatile Markets New York, New York ? November 3, 2022 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, tod

As filed with the Securities and Exchange Commission on August 19, 2022

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on August 19, 2022 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3ASR (Form Type) Focus Financial Partners Inc.

Focus Financial Partners Reports Second Quarter 2022 Results Revenue Diversification, Variable Expense Base and Global Scale Drive Excellent Financial Performance in Volatile Markets

Exhibit 99.1 Focus Financial Partners Reports Second Quarter 2022 Results Revenue Diversification, Variable Expense Base and Global Scale Drive Excellent Financial Performance in Volatile Markets New York, New York ? August 4, 2022 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth manag

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Focus Financial Partners Inc. Second Quarter 2022 Earnings Release Supplement August 4, 2022

Exhibit 99.2 Focus Financial Partners Inc. Second Quarter 2022 Earnings Release Supplement August 4, 2022 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or foreca

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 4, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 14, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 26, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

Focus Financial Partners Inc. First Quarter 2022 Earnings Release Supplement May 5, 2022

Exhibit 99.2 Focus Financial Partners Inc. First Quarter 2022 Earnings Release Supplement May 5, 2022 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts

Focus Financial Partners Reports First Quarter 2022 Results Excellent Performance Reflects Resiliency, Stability and Diversification of Business

Exhibit 99.1 Focus Financial Partners Reports First Quarter 2022 Results Excellent Performance Reflects Resiliency, Stability and Diversification of Business New York, New York ? May 5, 2022 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, today reported results for i

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Amendment No. 9 to First Lien Credit Agreement, dated as of April 13, 2022, among Focus Financial Partners, LLC, Bank of America, N.A., as revolver administrative agent, and the lenders party thereto(13)

Exhibit 10.1 Execution Version AMENDMENT NO. 9 TO FIRST LIEN CREDIT AGREEMENT dated as of April 13, 2022, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, and BANK OF AMERICA, N.A, as Revolver Administrative Agent AMENDMENT NO. 9 TO FIRST LIEN CREDIT AGREEMENT This AMENDMENT NO. 9 TO FIRST LIEN CREDIT AGREEMENT, dated as of April 13, 2022 (this ?Amendment?), among FO

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 13, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

Definitive Proxy Statement on Schedule 14A filed on April 14, 2022;

DEF 14A 1 tm223483-1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   )

DEFA14A 1 tm223483d2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 7, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

Elizabeth R. Neuhoff and George S. LeMieux Join Focus Financial Partners Board of Directors

Exhibit 99.1 Elizabeth R. Neuhoff and George S. LeMieux Join Focus Financial Partners Board of Directors New York, NY ? March 8, 2022 ? Focus Financial Partners Inc. (NASDAQ: FOCS) (?Focus?), a leading partnership of independent, fiduciary wealth management firms, announced today that Elizabeth R. Neuhoff and George S. LeMieux have been elected to Focus? Board of Directors effective immediately. M

Focus Financial Partners Reports Fourth Quarter and Full Year 2021 Results Excellent Partner Firm Results and Record M&A Activity Drive Strong Financial Performance

Exhibit 99.1 Focus Financial Partners Reports Fourth Quarter and Full Year 2021 Results Excellent Partner Firm Results and Record M&A Activity Drive Strong Financial Performance New York, New York ? February 17, 2022 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, to

Description of Securities registered under Section 12 of the Securities Exchange Act of 1934

Exhibit 4.2 DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Our authorized capital stock consists of 500,000,000 shares of Class A common stock, $0.01 par value per share, 500,000,000 shares of Class B common stock, $0.01 par value per share and 500,000,000 shares of preferred stock, $0.01 par value per share. Our Class A common stock are listed on the

Focus Financial Partners Inc. Fourth Quarter & Full Year 2021 Earnings Release Supplement February 17, 2022

EX-99.2 3 tm226951d1ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Focus Financial Partners Inc. Fourth Quarter & Full Year 2021 Earnings Release Supplement February 17, 2022 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

List of Subsidiaries of Focus Financial Partners Inc.

Exhibit 21.1 ? Legal Name of Entity Jurisdiction of Organization Acorn Insurance Agency, Inc. Massachusetts Acquirer Company Limited England and Wales Alley Investment Management Company, LLC Delaware Alpha Advice Australia Pty Ltd Australia Alpha Asset Management Pty Ltd Australia Altman Greenfield & Selvaggi Partners, LLC Delaware Ancora Advisors LLC Nevada Ancora Alternatives LLC Ohio Ancora Fa

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 17, 2022 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

FOCS / Focus Financial Partners Inc / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Focus Financial Partners Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 34417P100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate

FOCS / Focus Financial Partners Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Focus Financial Partners Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 34417P100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Sc

FOCS / Focus Financial Partners Inc / JPMORGAN CHASE & CO - FILING FOCUS FINANCIAL PARTNERS INC. Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appro

Underwriting Agreement, dated as of December 15, 2021, by and among Focus Financial Partners, Inc. and Goldman Sachs & Co. LLC and BofA Securities, Inc., as representatives of the several underwriters named in Schedule A thereto.

Exhibit 1.1 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 3,084,210 Shares of Class A Common Stock UNDERWRITING AGREEMENT Dated: December 15, 2021 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 3,084,210 Shares of Class A Common Stock UNDERWRITING AGREEMENT December 15, 2021 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282-2198 BofA Securities, Inc. One Bryant Park

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 15, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

CALCULATION OF REGISTRATION FEE

424B5 1 tm2135371-2424b5.htm 424B5 TABLE OF CONTENTS CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Proposed Maximum Aggregate Price Per Share Maximum Aggregate Offering Price Amount of Registration Fee(2)(3) Common A common stock, par value $0.01 per Share 3,546,841 $ 57.00 $ 202,169,937.00 $ 18,741.15 (1) Includes 462,631 shares of C

SUBJECT TO COMPLETION, DATED DECEMBER 15, 2021

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

INVESTOR DAY 2021 December 9, 2021

Exhibit 99.1 INVESTOR DAY 2021 December 9, 2021 Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of future events . Words such as ?may,? ?assume,? ?forecast,? ?posi

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 9, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emplo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Focus Financial Partners Reports Third Quarter Results M&A Momentum Drives Sustained High Growth and Strong Financial Performance

Exhibit 99.1 Focus Financial Partners Reports Third Quarter Results M&A Momentum Drives Sustained High Growth and Strong Financial Performance New York, New York ? November 4, 2021 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, today reported results for its third q

Focus Financial Partners Inc. Third Quarter 2021 Earnings Release Supplement November 4 , 2021

Exhibit 99.2 Focus Financial Partners Inc. Third Quarter 2021 Earnings Release Supplement November 4 , 2021 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or fore

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 4, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emplo

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Focus Financial Partners Inc. Second Quarter 2021 Earnings Release Supplement August 5, 2021

Exhibit 99.2 Focus Financial Partners Inc. Second Quarter 2021 Earnings Release Supplement August 5, 2021 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or foreca

Focus Financial Partners Reports Second Quarter Results Strong Growth and Financial Performance with Record M&A Momentum

Exhibit 99.1 Focus Financial Partners Reports Second Quarter Results Strong Growth and Financial Performance with Record M&A Momentum New York, New York ? August 5, 2021 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, today reported results for its second quarter end

Amendment No. 8 to First Lien Credit Agreement, dated as of July 1, 2021, among Focus Financial Partners, LLC, Royal Bank of Canada, as term administrative agent and collateral agent, and each new term loan lender party thereto(12)

Exhibit 10.1 Execution Version AMENDMENT NO. 8 TO FIRST LIEN CREDIT AGREEMENT dated as of July 1 2021, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, and ROYAL BANK OF CANADA, as Term Administrative Agent and Collateral Agent RBC CAPITAL MARKETS,[*] SPC FINANCING COMPANY LLC, KKR CAPITAL MARKETS LLC, BMO CAPITAL MARKETS CORP., TRUIST SECURITIES, INC., CAPITAL ONE,

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 1, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

FOCS / Focus Financial Partners Inc / KKR Group Partnership L.P. - SC13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Focus Financial Partners Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) David J. Sorkin, Esq. Kohlberg Kravis Roberts & Co. L.P. 30 Hudson Yards New York, New York 10001 Telep

Underwriting Agreement, dated as of June 21, 2021, by and among Focus Financial Partners, Inc., the selling stockholders named on Schedule B thereto and Goldman Sachs & Co. LLC.

Exhibit 1.1 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 7,417,929 Shares of Class A Common Stock UNDERWRITING AGREEMENT Dated: June 21, 2021 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 7,417,929 Shares of Class A Common Stock UNDERWRITING AGREEMENT June 21, 2021 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282-2198 as Underwriter Ladies and Gentlemen: Focus Fi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 17, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

CALCULATION OF REGISTRATION FEE

424B7 1 tm2120066-3424b7.htm 424B7 TABLE OF CONTENTS CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Proposed Maximum Aggregate Price Per Share Maximum Aggregate Offering Price Amount of Registration Fee(1)(2) Common A common stock, par value $0.01 per Share 7,417,929 $ 50.30 $ 373,121,828.70 $ 40,707.59 (1) Calculated in accordance with R

SUBJECT TO COMPLETION, DATED JUNE 21, 2021

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 26, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

Focus Financial Partners Reports First Quarter Results Performance Exceeds Expectations, Reinforcing Strong Momentum

Exhibit 99.1 Focus Financial Partners Reports First Quarter Results Performance Exceeds Expectations, Reinforcing Strong Momentum New York, New York ? May 6, 2021 ? Focus Financial Partners Inc. (Nasdaq: FOCS) (?Focus Inc.?, ?Focus?, the ?Company?, ?we?, ?us? or ?our?), a leading partnership of independent, fiduciary wealth management firms, today reported results for its first quarter ended March

Quarterly Report - 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer o

Focus Financial Partners Inc. First Quarter 2021 Earnings Release Supplement May 6, 2021

Exhibit 99.2 Focus Financial Partners Inc. First Quarter 2021 Earnings Release Supplement May 6, 2021 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts

Definitive Proxy Statement on Schedule 14A filed on April 15, 2021;

DEF 14A 1 tm212472-1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the

- DEFA14A

DEFA14A 1 tm212472d2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P 100 (CUSIP Number) Jacqueline Giammarco Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 (203) 862-

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 25, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)*

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Focus Financial Partners Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) David J. Sorkin, Esq. Kohlberg Kravis Roberts & Co. L.P. 30 Hudson Yards New York, New York 10001 Telep

Exhibit K

Exhibit K February 23, 2021 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282-2198 BofA Securities, Inc. One Bryant Park New York, New York 10036 as Representatives of the several Underwriters Re: Proposed Offering of Common Stock by the Company and the Selling Shareholders Dear Sirs: The undersigned, an officer, director or equity holder of Focus Financial Partners Inc., a Delaware

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P 100 (CUSIP Number) Jacqueline Giammarco Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 (203) 862-

Exhibit I

Exhibit I POWER OF ATTORNEY Know all men by these presents that Robert H. Lewin does hereby make, constitute and appoint David J. Sorkin, Terence P. Gallagher, and Christopher Lee, or any one of them, as a true and lawful attorney-in-fact of the undersigned with full powers of substitution and revocation, for and in the name, place and stead of the undersigned (both in the undersigned’s individual

Underwriting Agreement, dated as of February 25, 2021, by and among Focus Financial Partners Inc., the selling stockholders named on Schedule B thereto, Goldman Sachs & Co. LLC and BofA Securities, Inc.

Exhibit 1.1 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 7,000,000 Shares of Class A Common Stock UNDERWRITING AGREEMENT Dated: February 25, 2021 FOCUS FINANCIAL PARTNERS INC. (a Delaware corporation) 7,000,000 Shares of Class A Common Stock UNDERWRITING AGREEMENT February 25, 2021 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282-2198 BofA Securities, Inc. One Bryant Park

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 25, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Proposed Maximum Aggregate Price Per Share Maximum Aggregate Offering Price Amount of Registration Fee(2)(3) Class A common stock, par value

Use these links to rapidly review the document TABLE OF CONTENTS Prospectus Supplement TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No.

SUBJECT TO COMPLETION, DATED FEBRUARY 25, 2021

Use these links to rapidly review the document TABLE OF CONTENTS Prospectus Supplement TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(7) Registration No.

Exhibit 4.2

Exhibit 4.2 DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Our authorized capital stock consists of 500,000,000 shares of Class A common stock, $0.01 par value per share, 500,000,000 shares of Class B common stock, $0.01 par value per share and 500,000,000 shares of preferred stock, $0.01 par value per share. Our Class A common stock are listed on the

List of Subsidiaries of Focus Financial Partners Inc.

Exhibit 21.1 ? Legal Name of Entity Jurisdiction of Organization Acorn Insurance Agency, Inc. Massachusetts Altman Greenfield & Selvaggi Partners, LLC Delaware Asset Advisors Investment Management, LLC Delaware Atlas Private Wealth Management, LLC Delaware BAM Risk Management, LLC Delaware Bartlett & Co. Wealth Management LLC Delaware BBA-CGFIV GP, LLC Delaware BBA-Coinvest GP, LLC Delaware BBA-DO

Annual Report - 10-K

Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Indemnification Agreement (Kristine M. Mashinsky)

Exhibit 10.35 INDEMNIFICATION AGREEMENT This Indemnification Agreement (?Agreement?) is made as of January 1, 2021, by and between Focus Financial Partners Inc., a Delaware corporation (the ?Company?), and Kristine Mashinsky (?Indemnitee?). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement. RECITA

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 18, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Focus Financial Partners Reports Fourth Quarter and Full Year 2020 Results Record Financial Performance Demonstrates Benefits of Industry-Leading Scale and Resilient Business Model

Exhibit 99.1 Focus Financial Partners Reports Fourth Quarter and Full Year 2020 Results Record Financial Performance Demonstrates Benefits of Industry-Leading Scale and Resilient Business Model New York, New York – February 18, 2021 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth mana

Focus Financial Partners Inc. Fourth Quarter & Full Year 2020 Earnings Release Supplement February 18, 2021

Exhibit 99.2 Focus Financial Partners Inc. Fourth Quarter & Full Year 2020 Earnings Release Supplement February 18, 2021 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condi

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)*

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Focus Financial Partners Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 34417P100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Sc

Amendment No. 7 to the First Lien Credit Agreement, dated as of January 25, 2021, among Focus Financial Partners, LLC, Royal Bank of Canada, as term administrative agent and collateral agent and each lender party thereto (11)

Exhibit 10.1 Execution Version AMENDMENT NO. 7 TO FIRST LIEN CREDIT AGREEMENT dated as of January 25, 2021, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, and ROYAL BANK OF CANADA, as Term Administrative Agent and Collateral Agent RBC CAPITAL MARKETS,* SPC FINANCING COMPANY LLC, KKR CAPITAL MARKETS LLC, BMO CAPITAL MARKETS CORP., TRUIST SECURITIES, INC., CAPITAL ON

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 25, 2021 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emplo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title o

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appro

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 28, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Empl

Krissy Mashinsky Joins Focus Financial Partners Board of Directors

Exhibit 99.1 Krissy Mashinsky Joins Focus Financial Partners Board of Directors New York, NY – December 28, 2020 – Focus Financial Partners Inc. (NASDAQ: FOCS) (“Focus”), a leading partnership of independent, fiduciary wealth management firms, announced today that Krissy Mashinsky has been elected to Focus’ Board of Directors effective January 1, 2021, and will serve on its Audit and Risk Committe

As filed with the Securities and Exchange Commission on December 9, 2020

As filed with the Securities and Exchange Commission on December 9, 2020 Registration No.

Indemnification Agreement (Greg S. Morganroth, MD)(10)

Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of September 24, 2020, by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and Greg S. Morganroth, MD (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement.

Focus Financial Partners Reports Third Quarter 2020 Results Financial Performance Further Demonstrates Strength and Resiliency of Business

Exhibit 99.1 Focus Financial Partners Reports Third Quarter 2020 Results Financial Performance Further Demonstrates Strength and Resiliency of Business New York, New York – November 5, 2020 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for it

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 5, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emplo

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners

Focus Financial Partners Inc. 2020 Third Quarter Earnings Release Supplement November 5, 2020

Exhibit 99.2 Focus Financial Partners Inc. 2020 Third Quarter Earnings Release Supplement November 5, 2020 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forec

***

875 Third Avenue, 28th Floor New York, NY 10022 (646) 519-2456 50 California Street, 29th Floor - Suite 2950 San Francisco, CA 94111 (415) 900 3871 www.

Greg S. Morganroth, MD Joins Focus Financial Partners Board of Directors

Exhibit 99.1 Greg S. Morganroth, MD Joins Focus Financial Partners Board of Directors New York, NY – September 25, 2020 – Focus Financial Partners Inc. (NASDAQ: FOCS) (“Focus”), a leading partnership of independent, fiduciary wealth management firms, announced today that Greg S. Morganroth, MD, the Chief Executive Officer and founder of the California Skin Institute and a nationally recognized der

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 24, 2020 FOCUS FINANCIA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 24, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Emp

Appendix A

875 Third Avenue, 28th Floor New York, NY 10022 (646) 519-2456 50 California Street, 29th Floor - Suite 2950 San Francisco, CA 94111 (415) 900 3871 www.

***

875 Third Avenue, 28th Floor New York, NY 10022 (646) 519-2456 50 California Street, 29th Floor - Suite 2950 San Francisco, CA 94111 (415) 900 3871 www.

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc.

Focus Financial Partners Reports Second Quarter 2020 Results Performance Exceeds Expectations Demonstrating Resiliency of Business Model

Exhibit 99.1 Focus Financial Partners Reports Second Quarter 2020 Results Performance Exceeds Expectations Demonstrating Resiliency of Business Model New York, New York – August 6, 2020 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for its se

Focus Financial Partners Inc. 2020 Second Quarter Earnings Release Supplement August 6, 2020

Exhibit 99.2 Focus Financial Partners Inc. 2020 Second Quarter Earnings Release Supplement August 6, 2020 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or foreca

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employe

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 3, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction (Commission (IRS Employer

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

Focus Financial Partners Reports First Quarter 2020 Results Strong Financial Performance Despite Volatile Operating Environment

Exhibit 99.1 Focus Financial Partners Reports First Quarter 2020 Results Strong Financial Performance Despite Volatile Operating Environment New York, New York – May 7, 2020 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for its first quarter

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc.

Focus Financial Partners Inc. 2020 First Quarter Earnings Release Supplement May 7, 2020

Exhibit 99.2 Focus Financial Partners Inc. 2020 First Quarter Earnings Release Supplement May 7, 2020 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 7, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commissi

Amendment No. 1 to the Employment Agreement, by and between Leonard R. Chang and Focus Financial Partners, LLC(9)

Exhibit 10.3 AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT THIS AMENDMENT NO. 1 (this “Amendment”) to the Employment Agreement referenced below is entered into on March 27, 2020 and effective as of December 31, 2019 (the “Amendment 1 Effective Date”) by and between FOCUS FINANCIAL PARTNERS, LLC, a Delaware limited liability company (“Focus”) and LEONARD CHANG (“Executive”). WHEREAS, Focus and Executive

FOCS / Focus Financial Partners Inc. DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

Definitive Proxy Statement on Schedule 14A filed on April 15, 2020

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): April 13, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commi

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): April 10, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 25, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commi

Tax Receivable Agreement, dated as of March 25, 2020, by and among Focus Financial Partners Inc. and the parties named therein(8)

Exhibit 10.1 TAX RECEIVABLE AGREEMENT by and among FOCUS FINANCIAL PARTNERS INC., THE TRA HOLDERS and THE AGENT DATED AS OF MARCH 25, 2020 TAX RECEIVABLE AGREEMENT This TAX RECEIVABLE AGREEMENT (this “Agreement”), dated as of March 25, 2020, is hereby entered into by and among Focus Financial Partners Inc., a Delaware corporation (the “Corporate Taxpayer”), the TRA Holders and the Agent. RECITALS

Indemnification Agreement (J. Russell McGranahan)(7)

Exhibit 10.32 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of July 30, 2018 by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and J. Russell McGranahan (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement. RECITA

Annual Report - 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners Inc. (Exa

List of Subsidiaries of Focus Financial Partners Inc.

Exhibit 21.1 Legal Name of Entity Jurisdiction of Org Acorn Insurance Agency, Inc. Massachusetts Altman Greenfield & Selvaggi Partners, LLC Delaware Asset Advisors Investment Management, LLC Delaware Atlas Private Wealth Management, LLC Delaware Atlas Risk Management, LLC Delaware BAM Risk Management, LLC Delaware Bartlett & Co. Wealth Management LLC Delaware BFSG, LLC Delaware Bordeaux Wealth Adv

Employment Agreement, by and between Leonard R. Chang and Focus Financial Partners, LLC(7)

Exhibit 10.18 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”), entered into and effective as of April 12, 2017, is made by and between FOCUS FINANCIAL PARTNERS, LLC., a Delaware limited liability company (the “Company”), having a principal place of business of 825 Third Avenue, 27th Floor, New York, New York 10022, and Lenny Chang (“Executive”). WHEREAS, the Company and its affil

Indemnification Agreement (Leonard R. Chang)(7)

Exhibit 10.31 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of July 30, 2018 by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and Leonard R. Chang (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement. RECITALS WH

Amended and Restated Employment Agreement, by and between J. Russell McGranahan and Focus Financial Partners, LLC(7)

Exhibit 10.19 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”), entered into as of April 12, 2017, is made by and between FOCUS FINANCIAL PARTNERS, LLC., a Delaware limited liability company (the “Company”), having a principal place of business of 825 Third Avenue, 27th Floor, New York, New York 10022, and John Russell McGranahan (“Executi

Description of Securities registered under Section 12 of the Securities Exchange Act Of 1934

Exhibit 4.2 DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Our authorized capital stock consists of 500,000,000 shares of Class A common stock, $0.01 par value per share, 500,000,000 shares of Class B common stock, $0.01 par value per share and 500,000,000 shares of preferred stock, $0.01 par value per share. Our Class A common stock are listed on the

Fourth Quarter & Full Year 2019 Earnings Release Supplement February 20, 2020

Exhibit 99.2 Fourth Quarter & Full Year 2019 Earnings Release Supplement February 20, 2020 2 Disclaimer Special Note Regarding Forward - Looking Statements Some of the information in this presentation may contain forward - looking statements . Forward - looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of future e

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Co

Focus Financial Partners Reports Fourth Quarter and Full Year 2019 Results Excellent Performance Across Key Metrics Reinforces 2025 Strategy and Targets

Exhibit 99.1 Focus Financial Partners Reports Fourth Quarter and Full Year 2019 Results Excellent Performance Across Key Metrics Reinforces 2025 Strategy and Targets New York, New York – February 20, 2020 – Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported

FOCS / Focus Financial Partners Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Focus Financial Partners Inc Title of Class of Securities: Common Stock CUSIP Number: 34417P100 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1

FOCS / Focus Financial Partners Inc. / AKRE CAPITAL MANAGEMENT LLC Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Focus Financial Partners Inc. (Name of Issuer) Common Stock, $1.00 par value (Title of Class of Securities) 34417P100 (CUSIP Number) Charles T. Akre, Jr., 2 West Marshall Street, PO Box 998, Middleburg, Virginia 20118-0998, 540.687.3880 (Nam

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): January 27, 2020 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Com

Amendment No. 6 to the First Lien Credit Agreement, dated as of January 27, 2020, among Focus Financial Partners, LLC, Royal Bank of Canada, as term administrative agent, collateral agent and fronting bank and the lender parties thereto(6)

Exhibit 10.1 Execution Version AMENDMENT NO. 6 TO FIRST LIEN CREDIT AGREEMENT dated as of January 27, 2020, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, and ROYAL BANK OF CANADA, as Term Administrative Agent, Collateral Agent and Fronting Bank RBC CAPITAL MARKETS,* SUNTRUST ROBINSON HUMPHREY, INC., BMO CAPITAL MARKETS CORP., BOFA SECURITIES, INC., CAPITAL ONE, NA

FOCS / Focus Financial Partners Inc. / JP Morgan Chase & Co - FILING FOCUS FINANCIAL PARTNERS INC. Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Focus Financial Partners Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropr

FOCS / Focus Financial Partners Inc. / Ccp Ii Cayman Gp Ltd. - AMENDMENT NO. 1 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Focus Financial Partners, Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 34417P100 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 20, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Co

INVESTOR DAY 11.20.2019

Exhibit 99.1 INVESTOR DAY 11.20.2019 Agenda (All times are in EST) 8:00 am – 8:05 am Welcome & Introduction Tina Madon, Head of Investor Relations & Corporate Communications, Focus Financial Partners 8:05 am – 8:10 am Disclosure Rusty McGranahan, General Counsel, Focus Financial Partners 8:10 am – 8:15 am Opening Video 8:15 am – 9:00 am Overview & Strategy Rudy Adolf, Founder, Chief Executive Offi

FOCS / Focus Financial Partners Inc. 10-Q - Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 001-38604 Focus Financial Partners

Focus Financial Partners Reports Third Quarter 2019 Results Year-Over-Year Revenue Growth above 30% Strong Results Across All Key Metrics

Exhibit 99.1 Focus Financial Partners Reports Third Quarter 2019 Results Year-Over-Year Revenue Growth above 30% Strong Results Across All Key Metrics New York, New York — November 7, 2019 — Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for its

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 7, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Com

2019 Third Quarter Earnings Release Supplement November 7, 2019

Exhibit 99.2 2019 Third Quarter Earnings Release Supplement November 7, 2019 2 Disclaimer Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of future events. Words such as

Registration Rights Agreement, dated as of November 30, 2018, by and among Focus Financial Partners Inc. and the other parties named therein

Exhibit 4.2 Execution Version FOCUS FINANCIAL PARTNERS INC. REGISTRATION RIGHTS AGREEMENT Dated November 30, 2018 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1.1 Certain Definitions 1 ARTICLE II REGISTRATION RIGHTS 2.1 Shelf Registration Statement 5 2.2 Piggyback Registration Rights 6 2.3 Registration Suspension 9 2.4 Holdback Agreement 10 2.5 Registration Procedures 10 2.6 Registration Expenses

FOCS / Focus Financial Partners Inc. S-3ASR - - S-3ASR

S-3ASR 1 a2239546zs-3asr.htm S-3ASR Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on August 30, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 FOCUS FINANCIAL PARTNERS INC. (Exact name of regis

Focus Financial Partners Inc. 2019 Second Quarter Earnings Release Supplement August 8, 2019

Exhibit 99.2 Focus Financial Partners Inc. 2019 Second Quarter Earnings Release Supplement August 8, 2019 Disclaimer Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of fu

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commi

Focus Financial Partners Reports Second Quarter 2019 Results Year-Over-Year Revenue Growth above 30% for the Fifth Consecutive Quarter Reporting as a Public Company Growth Supported by Strong M&A Activity

Exhibit 99.1 Focus Financial Partners Reports Second Quarter 2019 Results Year-Over-Year Revenue Growth above 30% for the Fifth Consecutive Quarter Reporting as a Public Company Growth Supported by Strong M&A Activity New York, New York — August 8, 2019 — Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent,

FOCS / Focus Financial Partners Inc. 10-Q - Quarterly Report - 10-Q

Use these links to rapidly review the document TABLE OF CONTENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 26, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commis

Amendment No. 5 to the First Lien Credit Agreement, dated as of July 26, 2019, among Focus Financial Partners, LLC, Royal Bank of Canada, as term administrative agent and collateral agent and each new term loan lender party thereto(5)

Exhibit 10.1 Execution Version AMENDMENT NO. 5 TO FIRST LIEN CREDIT AGREEMENT dated as of July 26, 2019, among FOCUS FINANCIAL PARTNERS, LLC, as the Borrower, THE LENDERS PARTY HERETO, and ROYAL BANK OF CANADA, as Term Administrative Agent and Collateral Agent RBC CAPITAL MARKETS,* BMO CAPITAL MARKETS CORP., BOFA SECURITIES, INC., SUNTRUST ROBINSON HUMPHREY, INC., CAPITAL ONE, NATIONAL ASSOCIATION

Focus Financial Partners Inc. William Blair 39th Annual Growth Stock Conference June 5, 2019

Exhibit 99.1 Focus Financial Partners Inc. William Blair 39th Annual Growth Stock Conference June 5, 2019 Disclaimer Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of fu

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commiss

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 28, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commiss

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commissi

Focus Financial Partners Inc. 2019 First Quarter Earnings Release Supplement May 9, 2019

Exhibit 99.2 Focus Financial Partners Inc. 2019 First Quarter Earnings Release Supplement May 9, 2019 Disclaimer Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of future

Focus Financial Partners Reports First Quarter 2019 Results Year-Over-Year Revenue Growth of 32.5%, Supported by Record M&A Activity

Exhibit 99.1 Focus Financial Partners Reports First Quarter 2019 Results Year-Over-Year Revenue Growth of 32.5%, Supported by Record M&A Activity New York, New York — May 9, 2019 — Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wealth management firms, today reported results for its first qua

Amendment No.1 to the Fourth Amended and Restated Operating Agreement of Focus Financial Partners, LLC (4)

Exhibit 10.1 AMENDMENT NO. 1 TO THE FOURTH AMENDED AND RESTATED OPERATING AGREEMENT OF FOCUS FINANCIAL PARTNERS, LLC This Amendment No. 1 (this “Amendment”) to the Fourth Amended and Restated Operating Agreement, dated as of March 6, 2019 (the “Agreement”), of Focus Financial Partners, LLC, a Delaware limited liability company (the “Company”), is made and entered into by the Managing Member, the K

Indemnification Agreement (Joseph Feliciani Jr.)(4)

Exhibit 10.2 INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of April 1, 2019 by and between Focus Financial Partners Inc., a Delaware corporation (the “Company”), and Joseph Feliciani, Jr. (“Indemnitee”). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee covering the subject matter of this Agreement. RECITAL

FOCS / Focus Financial Partners Inc. 10-Q Quarterly Report 10-Q

Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

FOCS / Focus Financial Partners Inc. DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

Definitive Proxy Statement on Schedule 14A filed on April 15, 2019;

DEF 14A 1 a2238368zdef14a.htm DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box

FOCS / Focus Financial Partners Inc. / AKRE CAPITAL MANAGEMENT LLC Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Focus Financial Partners Inc. (Name of Issuer) Common Stock, $1.00 par value (Title of Class of Securities) 34417P100 (CUSIP Number) Charles T. Akre, Jr., 2 West Marshall Street, PO Box 998, Middleburg, Virginia 20118-0998, 540.687.3880 (Name

FOCS / Focus Financial Partners Inc. 10-K (Annual Report)

Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO FINANCIAL STATEMENTS FOCUS FINANCIAL PARTNERS INC.

List of Subsidiaries of Focus Financial Partners Inc.

QuickLinks - Click here to rapidly navigate through this document Exhibit 21.1 Legal Name of Entity Jurisdiction of Org Acorn Insurance Agency, Inc. Massachusetts Altman Greenfield & Selvaggi Partners, LLC Delaware ASA Acquisition, LLC Delaware Asset Advisors Investment Management, LLC Delaware Atlas Private Wealth Management, LLC Delaware Atlas Risk Management, LLC Delaware BAM Advisor Services,

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 6, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Commis

Focus Financial Partners 40th Raymond James Annual Institutional Investors Conference March 6, 2019

Exhibit 99.1 Focus Financial Partners 40th Raymond James Annual Institutional Investors Conference March 6, 2019 Disclaimer Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecast

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 22, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Co

Joseph Feliciani, Jr. Joins Focus Financial Partners Board of Directors

Exhibit 99.1 Joseph Feliciani, Jr. Joins Focus Financial Partners Board of Directors New York, NY — February 28, 2019 — Focus Financial Partners Inc. (NASDAQ: FOCS) (“Focus”), a leading partnership of independent, fiduciary wealth management firms, today announced that Joseph Feliciani, Jr., former Chief Operating Officer of Finance and Chief Accounting Officer for BlackRock, has been elected to F

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Co

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 21, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Co

Focus Financial Partners Fourth Quarter and Full Year 2018 Earnings Release Supplement February 21, 2019

Exhibit 99.2 Focus Financial Partners Fourth Quarter and Full Year 2018 Earnings Release Supplement February 21, 2019 Special Note Regarding Forward-Looking Statements Some of the information in this presentation may contain forward-looking statements. Forward-looking statements give our current expectations, contain projections of results of operations or of financial condition, or forecasts of f

Focus Financial Partners Reports 2018 Fourth Quarter and Full Year Results Record Year with Revenue Growth of 37.4% Exceeded 20% Annual Revenue Growth Target for the Third Consecutive Year

Exhibit 99.1 Focus Financial Partners Reports 2018 Fourth Quarter and Full Year Results Record Year with Revenue Growth of 37.4% Exceeded 20% Annual Revenue Growth Target for the Third Consecutive Year New York, New York — February 21, 2019 — Focus Financial Partners Inc. (Nasdaq: FOCS) (“Focus Inc.”, “Focus”, the “Company”, “we”, “us” or “our”), a leading partnership of independent, fiduciary wea

LORING WARD HOLDINGS INC. AND SUBSIDIARIES Consolidated Financial Statements December 31, 2017 (With Independent Auditors’ Report Thereon)

EXHIBIT 99.1 LORING WARD HOLDINGS INC. AND SUBSIDIARIES Consolidated Financial Statements December 31, 2017 (With Independent Auditors’ Report Thereon) 1 Independent Auditors’ Report The Board of Directors Loring Ward Holdings Inc.: We have audited the accompanying consolidated financial statements of Loring Ward Holdings Inc. and its subsidiaries (the Company), which comprise the consolidated bal

Financial Statements and Exhibits

8-K/A 1 a19-244318ka.htm 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 30, 2018 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other j

UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL INFORMATION

EXHIBIT 99.2 UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL INFORMATION On November 30, 2018 (the “Closing Date”), Focus Financial Partners Inc. (the “Company”) completed its acquisition of Loring Ward Holdings Inc. (“Loring Ward”) through a merger of a newly-formed, wholly-owned subsidiary of the Company with and into Loring Ward (the “Merger”). Total consideration at the closing of the Mer

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 16, 2019 FOCUS FINANCIAL PARTNERS INC. (Exact name of registrant as specified in its charter) Delaware 001-38604 47-4780811 (State or other jurisdiction of incorporation) (Com

Agreement and Plan of Merger, dated as of September 27, 2018, by and among Loring Ward Holdings Inc., Focus Financial Partners Inc., LWH Merger Sub I, Inc., LWH Merger Sub II, Inc., and the Stockholder Representative named therein

Exhibit 2.1 EXECUTION COPY AGREEMENT AND PLAN OF MERGER DATED AS OF SEPTEMBER 27, 2018 BY AND AMONG LORING WARD HOLDINGS INC., FOCUS FINANCIAL PARTNERS INC., LWH MERGER SUB I, INC., LWH MERGER SUB II, INC., AND THE STOCKHOLDER REPRESENTATIVE NAMED HEREIN TABLE OF CONTENTS Page ARTICLE I. CERTAIN DEFINITIONS 2 Section 1.1 Certain Definitions 2 Section 1.2 Additional Defined Terms 16 Section 1.3 Int