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Washington, D.C. 20549













Date of Report (Date of earliest event reported): March 7, 2022





(Exact name of registrant as specified in its charter)




Delaware 001-38604 47-4780811
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
  875 Third Avenue, 28th Floor  
  New York, NY 10022  
  (Address of principal executive offices)  
  (Zip Code)  
  (646) 519-2456  
  Registrant’s Telephone Number, Including Area Code  




Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Class A common stock, par value $0.01 per share   FOCS   Nasdaq Global Select Market


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨







Item 5.02Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On March 7, 2022, the board of directors (the “Board”) of Focus Financial Partners Inc. (the “Company”) appointed Elizabeth R. Neuhoff and George S. LeMieux to serve as Class I and Class III directors on the Board, respectively, effective immediately. Ms. Neuhoff will serve as a member of the audit and risk committee of the Board, and Mr. LeMieux will serve as a member of the compensation committee and the nominating, governance and sustainability committee of the Board.


As compensation for services provided as a member of the Board, Ms. Neuhoff and Mr. LeMieux will each receive compensation comparable to those of other members of the Board.


Except as disclosed herein, there are no arrangements or understandings among Ms. Neuhoff, Mr. LeMieux and any other person pursuant to which either was selected as a director.


Item 7.01Regulation FD Disclosure.


On March 8, 2022, the Company issued a press release announcing Ms. Neuhoff’s and Mr. LeMieux’s appointments. A copy of the press release is furnished as Exhibit 99.1 hereto and is incorporated by reference into this Item 7.01.


The information in this Current Report on Form 8-K being furnished pursuant to Items 7.01 and 9.01 shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, and is not incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.


Item 9.01Financial Statements and Exhibits.




Exhibit No.   Description
99.1   Focus Financial Partners Inc. Press Release, dated March 8, 2022

104  Cover Page Interactive Data File (embedded within the Inline XBRL document)







Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


  By: /s/ J. Russell McGranahan
    J. Russell McGranahan
    General Counsel


Dated: March 9, 2022






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. Ms. Neuhoff will serve on the Audit and Risk Committee, and Mr. LeMieux will serve on the Compensation Committee and the Nominating, Governance and Sustainability Committee.


Since 2012, Ms. Neuhoff has served as the Chief Executive Officer and President of Neuhoff Communications, a broadcast and digital media company. She previously held a number of positions at Interep National Radio Sales, Inc., an independent national media marketing firm, including Executive Vice President.


Mr. LeMieux is Chairman of Gunster Yoakley & Stewart, P.A., a Florida based law firm, a position he has held since 2011. From 2009 to 2011 Mr. LeMieux served as a U.S. Senator in the 111th Congress. Prior to that, Mr. LeMieux served as Florida’s chief deputy attorney general, and as chief of staff to Florida’s former governor.


“Elizabeth and George bring diverse skills to our Board,” said Rudy Adolf, Founder, CEO and Chairman of Focus. “Elizabeth’s communication background will assist Focus in continuing to position it and its partner firms as unique market leaders within wealth management and the financial services industry. George’s breadth of legal, public service and other leadership experience will provide a distinct perspective to the Board. We are thrilled to have them join us.”


About Focus Financial Partners Inc.


Focus Financial Partners Inc. is a leading partnership of independent, fiduciary wealth management firms. Focus provides access to best practices, resources and continuity planning for its partner firms who serve individuals, families, employers and institutions with comprehensive wealth management services. Focus partner firms maintain their operational independence, while they benefit from the synergies, scale, economics and best practices offered by Focus to achieve their business objectives. For more information about Focus, please visit www.focusfinancialpartners.com.




Cautionary Note Concerning Forward-Looking Statements


This release contains certain forward-looking statements that reflect Focus’ current views with respect to certain current and future events. These forward-looking statements are and will be, subject to many risks, uncertainties and factors relating to Focus’ operations and business environment, including, without limitation, uncertainty surrounding the current COVID-19 pandemic, which may cause future events to be materially different from these forward-looking statements or anything implied therein. Any forward-looking statements in this release are based upon information available to Focus on the date of this release. Focus does not undertake to publicly update or revise its forward-looking statements even if experience or future changes make it clear that any statements expressed or implied therein will not be realized. Additional information on risk factors that could affect Focus may be found in Focus’ filings with the Securities and Exchange Commission.


Investor and Media Contact


Tina Madon

Senior Vice President

Head of Investor Relations & Corporate Communications

Focus Financial Partners

P: +1-646-813-2909


Charlie Arestia
Vice President
Investor Relations & Corporate Communications
Focus Financial Partners
P: +1-646-560-3999