FOCUSED ALPHA, LLC

C26
CRD 310591·SEC 801-121367·GREENWOOD VILLAGE, CO
AUM
$663.9M
$500M-$1B
Est. Revenue
$6.6M
@ 1% on AUM
Est. EBITDA
$2.0M
@ 30% margin
Est. Deal Value
$15.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FOCUSED ALPHA, LLC
CRD
310591
SEC file #
801-121367
EIN
852477195
DBA names

Economics

AUM
$663.9M
AUM band
$500M-$1B
AUM trajectory
'22'26
$284.1M → $663.9M▲ +134%
Client mix
Individuals Other413
Individuals High Net Worth128
Corporations12

Operations

Employees (total)
8
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'21'26
1 advisors → 5 advisors▲ +400%
Primary office
GREENWOOD VILLAGE CO
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/12/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAROTZ, DANIEL, I
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
BAROTZ, DANIEL, I
SADZEWICZ, GERY, JOSEPH
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:focusedalpha.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002105062
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-02-13
Edgar Last Filing Date
2026-05-12
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-05-12
Accession0001104659-26-059190

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Edgar Addresses
Mailing
1401 LAWRENCE STREETSUITE 1600DENVER, CO 80202
Business
1401 LAWRENCE STREETSUITE 1600DENVER, CO 80202
Edgar EIN
852477195
Edgar Recent Filings
13F-HR2026-05-12 · 0001104659-26-059190
13F-HR2026-02-13 · 0001104659-26-014890
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5114484
Trust Company Affiliate
No