Focus 1 Associates Increases its Presence in Prominent Southern California Investment Adviser Market


Krista S. Zipfel 
Focus 1 Associates LLC
July 19, 2018


The sale of Advisor Solutions Group’s key assets adds Krista Zipfel, CFA to Focus 1’s senior leadership team along with Newport Beach, CA Office.


(Newport Beach, CA) – Focus 1 Associates LLC (“Focus 1”) announced today its purchase of key assets from Advisor Solutions Group, Inc. (“ASG”), a Newport Beach, Ca. based regulatory compliance consulting firm founded in 2003 by the firm’s President and CEO, Krista Zipfel, CFA.

“While I’ve known Krista for many years, I enjoyed learning more about ASG these past few months and have very much appreciated the opportunity to meet with many of the clients they serve,” says Tobin Cochran, IACCP®, Focus 1’s Managing Member and President. “Krista has built a significant presence in Southern California, with deep longstanding relationships among well-known investment advisers and industry recognized service providers, including Schwab, Fidelity and TDA,” added Cochran. “It was no surprise that most client meetings started with a hug rather than the traditional handshake.”

According to Victoria Luiten, IACCP®, a Director and head of Focus 1’s regulatory compliance practice, ASG recently celebrated 15 years in business. “An impressive milestone by any account,” said Luiten. “I’m looking forward to working with Krista and other team members to fully integrate ASG’s clients, while also identifying processes and procedures and key aspects of each of our practices that will benefit our entire client base.”

“I’m looking forward to the next chapter of my professional career in which I can focus on delivering compliance solutions to our clients while working with the Focus 1 team on continuing to enhance how we provide practical and relevant advice specific to the advisers we work with,” said Zipfel. Cochran concluded by saying “We have an enormous amount of respect for Krista as a person, entrepreneur, business owner, and experienced compliance professional. We are all very excited to welcome her to the Focus 1 team.”

Krista began her career in 1994 with Palley-Needelman Asset Management, Inc. During her eight years at Palley-Needelman, she went from serving as a portfolio administrator and database administrator to completing her MBA, earning the right to use the Chartered Financial Analyst® Designation, passing the Series 7 and 65 exams, to becoming a Portfolio Manager and Director of Managed Account Operations. She later served as Managing Director for Finance 500 Advisory Services, Inc. and was responsible for all aspects of the firm’s operations and compliance program.

During her career she has been involved in the SEC examination process in both a firm and consultant role. She has prepared and submitted hundreds of regulatory filings. She has worked in the areas of compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting. She has provided valuable advice to CEOs, Presidents, CIOs, portfolio managers, analysts, and administrative and operational staff and understands RIAs’ organization and compliance needs.

Krista is a member of and currently serves on the Board of Directors for the National Society of Compliance Professionals (NSCP) as the Finance Committee Chair and Treasurer. She is a member and Past President of the Southern California Compliance Group (SCCG). She is a frequent speaker on regulatory topics for NSCP, Charles Schwab & Co, Inc., and other events. She is a member of the CFA Institute, an active member and former president of the CFA Society of Orange County (CFAOC). She is the founder, former chair, and current board member of the CFA Society of Orange County Foundation (CFAOCF).

Headquartered in Medford, Oregon, with offices in the greater Pasadena, CA area, Tampa Bay, FL, Derry, NH, and now Newport Beach, CA, Focus 1 specializes in assisting SEC registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds— with their compliance needs whether that be consulting, assistance with the annual compliance review, mock SEC examinations or outsourced CCO.

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