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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

FOCUSED ALPHA, LLC

CRD 310591

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e4d2d422-e777-3aeb-90b1-423d7d809214

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 6
On other graphs: 0
Observed: Aug 18, 2020 to Mar 12, 2026
22 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.74 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $664MItem 5.F on the latest filing (2026-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $650M
Private client RAUM: $493MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $111Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 5
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 1,514
Individual clients: 413
High net worth clients: 128
Custody, client assets: $243M
SEC number: 801-121367
CRD: 310591
Filings on the tape: 22
First filed: Aug 18, 2020
Latest filed: Mar 12, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL I BAROTZ	n/a	GREENWOOD VILLAGE, CO	5	20	5	no
KEVIN JAMES GOLDIN	n/a	GREENWOOD VILLAGE, CO	5	32	3	no
ROBERT WILLIAM STRAUS	n/a	GREENWOOD VILLAGE, CO	2	38	2	no
RYAN DAVIS FREBERG	n/a	PHOENIX, AZ \| GREENWOOD VILLAGE, CO	2	13	2	no
MATTHEW ARTHUR TARINI	Certified Financial Planner	PHOENIX, AZ \| GREENWOOD VILLAGE, CO	1	31	5	no
CONNOR JAMES JACKSON	n/a	GREENWOOD VILLAGE, CO \| TEMPE, AZ	0	11	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAROTZ, DANIEL, I	MANAGING MEMBER	E	yes	08/2020	Aug 18, 2020	Dec 23, 2024
SADZEWICZ, GERY, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	08/2020	Aug 18, 2020	Dec 23, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	2	no
Phoenix	Az	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026	$664M	$650M	8	5	5	n/a	n/a
2024	Mar 12, 2025	$562M	$549M	9	8	2	n/a	n/a
2023	Mar 18, 2024	$307M	$307M	4	3	0	n/a	n/a
2022	Mar 24, 2023	$258M	$258M	4	4	0	n/a	n/a
2021	Feb 16, 2022	$284M	$284M	4	3	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	5	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$664M	$562M	18.2%	$258M	37.1%	8	9	5	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
UBS FINANCIAL SERVICES INC.	2	Apr 16, 2024	May 21, 2024	TUCSON, AZ	Team lift out	Wirehouse to RIA	0.0%

Relationships

Registered with (9)

← CONNOR JAMES JACKSONAdvisorregistration: current employment
Jan 13, 2026 to presentfactForm ADV
← MATTHEW ARTHUR TARINIAdvisorregistration: current employment
Oct 30, 2024 to presentfactForm ADV
← RYAN DAVIS FREBERGAdvisorregistration: current employment
May 6, 2024 to presentfactForm ADV
← ROBERT WILLIAM STRAUSAdvisorregistration: current employment
Jan 9, 2024 to presentfactForm ADV
← KEVIN JAMES GOLDINAdvisorregistration: current employment
Mar 22, 2021 to presentfactForm ADV
← DANIEL I BAROTZAdvisorregistration: current employment
Mar 12, 2021 to presentfactForm ADV
← JOSEPH DEMICHELEAdvisorregistration: previous registration
May 21, 2024 to Apr 1, 2025factForm ADV
← Mary Kathleen FlahertyAdvisorregistration: previous registration
Apr 25, 2022 to Mar 20, 2025factForm ADV
← Joshua Samuel GoldinAdvisorregistration: previous registration
Apr 12, 2021 to Aug 31, 2023factForm ADV

Owns (1)

← SADZEWICZ, GERY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 18, 2020 to Dec 23, 2024factForm ADV

Controls (1)

← BAROTZ, DANIEL, IOwnerMANAGING MEMBER, ownership code E, individual
Aug 18, 2020 to Dec 23, 2024factForm ADV

Moved with (1)

← UBS FINANCIAL SERVICES INC.Registered adviser2 advisors, team lift out, same day
Apr 16, 2024 to May 21, 2024factForm ADV

Dated events

Occurred
Apr 1, 2025
Advisor changed firm
Joseph Demichele left Focused Alpha, Llc for Wells Fargo Advisors (registered 2025-04-01)
Form ADVobserved 4 days ago
Occurred
Mar 20, 2025
Advisor changed firm
Mary Kathleen Flaherty left Focused Alpha, Llc for Mkf Private Wealth Management (registered 2025-04-15)
Form ADVobserved 4 days ago
Occurred
Mar 12, 2025
Regulatory AUM changed
Focused Alpha, Llc reported RAUM $561.9M, up 83% from $306.8M (2024-12-23 to 2025-03-12)
Form ADVobserved 4 days ago
$255M
Occurred
Apr 16, 2024
Team lift-out
2 advisors left UBS Financial Services Inc. (Tucson, AZ) for Focused Alpha, LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Aug 31, 2023
Advisor changed firm
Joshua Samuel Goldin left Focused Alpha, Llc for Iwp Wealth Management Llc (registered 2023-09-18)
Form ADVobserved 4 days ago
Occurred
Aug 18, 2020
First Form ADV filing
Focused Alpha, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4d2d422-e777-3aeb-90b1-423d7d809214
First observed: Aug 18, 2020
Last observed: Mar 12, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FOCUSED ALPHA, LLC

CRD 310591

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e4d2d422-e777-3aeb-90b1-423d7d809214

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL I BAROTZ

n/a

GREENWOOD VILLAGE, CO

KEVIN JAMES GOLDIN

n/a

GREENWOOD VILLAGE, CO

ROBERT WILLIAM STRAUS

n/a

GREENWOOD VILLAGE, CO

RYAN DAVIS FREBERG

n/a

PHOENIX, AZ | GREENWOOD VILLAGE, CO

MATTHEW ARTHUR TARINI

Certified Financial Planner

PHOENIX, AZ | GREENWOOD VILLAGE, CO

CONNOR JAMES JACKSON

n/a

GREENWOOD VILLAGE, CO | TEMPE, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAROTZ, DANIEL, I

MANAGING MEMBER

yes

08/2020

Aug 18, 2020

Dec 23, 2024

SADZEWICZ, GERY, JOSEPH

CHIEF COMPLIANCE OFFICER

08/2020

Aug 18, 2020

Dec 23, 2024

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

Phoenix

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$664M

$650M

n/a

2024

Mar 12, 2025

$562M

$549M

n/a

2023

Mar 18, 2024

$307M

n/a

2022

Mar 24, 2023

$258M

n/a

2021

Feb 16, 2022

$284M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$664M

$562M

18.2%

$258M

37.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

UBS FINANCIAL SERVICES INC.

Apr 16, 2024

May 21, 2024

TUCSON, AZ

Team lift out

Wirehouse to RIA

0.0%