FOCUSED ALPHA, LLC
Adviser information for FOCUSED ALPHA, LLC last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 816 | $306.8M |
| Non-Discretionary | 0 | $0 |
| Total | 816 | $306.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 150 | $38.6M |
| HNW Individuals | 65 | $161.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $107.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 306.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FOCUSED ALPHA, LLC WRAP FEE PROGRAM BROCHURE | FOCUSED ALPHA, LLC |
Identifiers
| SEC RIA File Number | 801-121367 |
|---|---|
| SEC ERA File Number | 801-121367 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310591 |
| Legal Entity Identifier | None |
Principal Office
1401 LAWRENCE STREETSUITE 1600
DENVER
CO
United States
Monday - Friday, 8AM - 5PM
Tel: 303-529-5100, Fax: None
Websites
linkedin.com/in/josh-goldin/
www.linkedin.com/company/goldinwealthmanagement
linkedin.com/in/david-taeb-077a4511b/
www.focusedalpha.com
www.linkedin.com/company/focused-alpha/?viewasmember=true
linkedin.com/in/moneyexpert/
linkedin.com/in/kevingoldin/
www.goldinwealthmanagement.com
www.instagram.com/goldinwealthmanagement/
Chief Compliance Officer
GERY SADZEWICZ
CHIEF COMPLIANCE OFFICER
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
DANIEL BAROTZ
MANAGING MEMBER
1401 LAWRENCE STREET
SUITE 1600
DENVER
CO
United States
Tel:
303-529-5100
D*****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAROTZ, DANIEL, I | Individual | – | MANAGING MEMBER | 08/2020 | > 75% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2020 | < 5% |