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RIA / WealthAdvisor20 years in industry

DANIEL I BAROTZ

Advisor at FOCUSED ALPHA, LLC

GREENWOOD VILLAGE, CO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 11, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOCUSED ALPHA, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 9, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 9, 2006
First registration: Sep 11, 2006
Dual registered: no
IAPD individual key: 5114484

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOCUSED ALPHA, LLC	Independent wealth	Mar 12, 2021	n/a	yes	GREENWOOD VILLAGE, CO	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 26, 2011	Jan 22, 2021	no	DENVER, CO\|DENVER, CO	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 7, 2011	no	GREENWOOD VILLAGE, CO	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	CENTENNIAL, CO	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 16, 2007	Apr 2, 2007	no	CENTENNIAL, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 11, 2006	Feb 21, 2007	no	GREENWOOD VILLAGE, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	FOCUSED ALPHA, LLC	Jan 22, 2021	Mar 12, 2021	49	Firm change	Wirehouse to new firm
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Sep 7, 2011	Aug 26, 2011	-12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MORGAN STANLEY DW INC.	Feb 21, 2007	Feb 16, 2007	-5	Firm change	Other

Relationships

Registered with (6)

→ FOCUSED ALPHA, LLCRegistered adviserregistration: current employment
Mar 12, 2021 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 26, 2011 to Jan 22, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 7, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 16, 2007 to Apr 2, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 11, 2006 to Feb 21, 2007factForm ADV

Dated events

No dated event names this entity yet.