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FOCUSED ALPHA, LLC

GREENWOOD VILLAGE, CO · CRD 310591 · IAPD ↗ · 303-529-5100

$663.9MRegulatory AUM
5Advisory reps
8Employees
1Clients
251-500Planning clients
0Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

48
April 2026 — FOCUSED ALPHA, LLC moved its main office from DENVER, CO to GREENWOOD VILLAGE, CO.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
53
April 2026 — FOCUSED ALPHA, LLC shrank from 8 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
53
April 2026 — FOCUSED ALPHA, LLC added office(s): 1 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2026 — FOCUSED ALPHA, LLC notice-filed in CA, FL, IL, LA, MD, MI, NC, NE, NH, NV, OR, TX, VA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2026 — FOCUSED ALPHA, LLC reports 251-500 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — FOCUSED ALPHA, LLC crossed $500M in regulatory AUM ($306.8M -> $561.9M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
73
April 2025 — FOCUSED ALPHA, LLC grew from 3 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
68
January 2025 — FOCUSED ALPHA, LLC now reports custody of client assets ($132.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
November 2024 — FOCUSED ALPHA, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
May 2024 — FOCUSED ALPHA, LLC notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
May 2024 — FOCUSED ALPHA, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2024 — FOCUSED ALPHA, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.