Focused Alpha, Llc
- Regulatory AUM
- $664M
- Discretionary
- $650M
- Clients
- 553
- Avg AUM / client
- $1.2M
- Accounts
- 1,514
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 413 | $176M | 26.5% |
| High net worth individuals | 128 | $317M | 47.7% |
| State or municipal government entities | Fewer than 5 clients | $151M | 22.7% |
| Corporations and other businesses | 12 | $20.6M | 3.11% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel I Barotz | Managing Member | Aug 2020 (6y) | 75% or more | |
| Gery Joseph Sadzewicz | Chief Compliance Officer | Aug 2020 (6y) | Less than 5% | |
| Kevin James Goldin | Registered representative | Mar 2021 (5y) | ||
| Robert William Straus | Registered representative | Jan 2024 (3y) | ||
| Ryan Davis Freberg | Registered representative | May 2024 (2y) | ||
| Matthew Arthur Tarini | Registered representative | CFP | Oct 2024 (2y) | |
| Connor James Jackson | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $482M (73% of AUM) Mar 2026
- Charles Schwab & Co. $178M (27% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗