Daniel Barotz has been Managing Member of Focused Alpha since August 2020, is a control person of the firm and directly owns 75% or more of it.
Focused Alpha, LLC is a Greenwood Village, CO firm with $664M under management, 553 clients and 5 advisers across 6 offices, as of its September 2026 filing.
Daniel Barotz’s longest registration was 9 years at UBS Financial Services Inc. (2011–2021). Before joining Focused Alpha in 2021, Daniel Barotz was registered through UBS Financial Services Inc. and Morgan Stanley Smith Barney LLC.
- Focused Alpha, LLCCurrent– present · 5 yearsGreenwood Village, CO · Adviser representative · Firm CRD 310591
- UBS Financial Services Inc.– · 9 yearsDenver, CO · Adviser representative · Firm CRD 8174
- Morgan Stanley Smith Barney LLC– · 2 yearsCentennial, CO · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsCentennial, CO · Adviser representative · Firm CRD 8209
- Morgan Stanley– · under a yearCentennial, CO · Adviser representative · Firm CRD 7556
- Wachovia Securities, LLC– · under a yearGreenwood Village, CO · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Daniel Barotz is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2021; the most recent is Texas, in April 2026.
- ColoradoSince 13 January 2021
- TexasResidentSince 6 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 21 May 2007 |
| Series 66 | Uniform Combined State Law Examination | 9 September 2006 |
| Series 7 | General Securities Representative Examination | 2 May 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel I Barotz
- CRD
- 5114484
- Firm
- Focused Alpha · CRD 310591
- Role
- Managing Member
- Office
- 5680 GREENWOOD PLAZA BLVD, SUITE 120, Greenwood Village, CO 80111
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Barotz work?
Daniel Barotz has been Managing Member of Focused Alpha, LLC since August 2020, and is a control person of the firm.
Is Daniel Barotz a financial advisor?
Yes. Daniel Barotz has a current investment-adviser registration in Colorado and Texas, through Focused Alpha since January 2021.
How many years of experience does Daniel Barotz have?
Daniel Barotz has 20 years in the financial industry, since May 2006, across 6 adviser firms.
What exams has Daniel Barotz passed?
Daniel Barotz has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in May 2006. FINRA credited Daniel Barotz with the SIE, which began in October 2018.
Where did Daniel Barotz work before Focused Alpha?
Before Focused Alpha, Daniel Barotz was registered through Morgan Stanley Smith Barney LLC, June 2009 to September 2011; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, February 2007 to April 2007; Wachovia Securities, LLC, September 2006 to February 2007.
Where is Daniel Barotz based?
Daniel Barotz’s registered office is in Greenwood Village, CO.
Is Daniel Barotz registered with FINRA?
No. Daniel Barotz has no current broker registration.
How can I verify Daniel Barotz’s record?
Search CRD 5114484 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Barotz’s full registration record.
- Gery SadzewiczChief Compliance Officer