Robert W. Straus

FOCUSED ALPHA

Denver, CO 80202

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CRD#: 1864807

Professional summary

Robert William Straus, who also goes by Robert W Straus, is a registered financial advisor currently at FOCUSED ALPHA, LLC located in Denver, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert W Straus

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Straus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 9, 2024 - Present

FOCUSED ALPHA, LLC

Office #1: 1401 Lawrence Street Suite 1600, Denver, CO 80202

RIA

CRD#: 310591

Denver, CO

Past

May 6, 2015 - January 15, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

May 1, 2015 - January 15, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Lone Tree, CO

Past

April 11, 2003 - March 14, 2014

ICON ADVISERS, INC.

RIA

CRD#: 108268

GREENWOOD VILLAGE, CO

Past

January 9, 2001 - March 14, 2014

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

November 8, 2000 - December 31, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 20, 1997 - January 5, 2000

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

July 31, 1995 - November 15, 1996

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 3, 1994 - July 27, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

June 14, 1993 - August 15, 1994

KALB, VOORHIS & CO., LLC

CRD#: 479

NEW YORK, NY

Past

January 17, 1991 - June 27, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 7, 1989 - January 25, 1991

SANWA SECURITIES (USA) CO., L.P.

CRD#: 19697

NEW YORK, NY

Past

August 25, 1988 - January 25, 1989

MABON, NUGENT & CO.

CRD#: 2617

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOCUSED ALPHA, LLC

FOCUSED ALPHA, LLC | MKF PRIVATE WEALTH MANAGEMENT | GOLDIN WEALTH MANAGEMENT | FOUR CORNERS WEALTH PARTNERS

CRD#: 310591 / SEC#: 801-121367

RIA

Registered Investment Advisory firm - (6/2/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/20/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/16/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 12/17/1994

Registered Options Principal Examination

Current Firm

FOCUSED ALPHA, LLC

FOCUSED ALPHA, LLC | MKF PRIVATE WEALTH MANAGEMENT | GOLDIN WEALTH MANAGEMENT | FOUR CORNERS WEALTH PARTNERS

CRD#: 310591 / SEC#: 801-121367

RIA

Registered Investment Advisory firm - (6/2/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/20/2021 Terminated)

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Contact information

Main Address

1401 Lawrence Street Suite 1600, Denver, CO 80202

Mailing Address

Phone number

(303) 529-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOCUSED ALPHA WRAP BROCHURE (3/12/2025)

FOCUSED ALPHA ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,481
AUM (Assets Under Management)	$ 561,944,040

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Robert W. Straus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Straus's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

ICON ADVISERS, INC.

ICON DISTRIBUTORS, INC.

CHARLES SCHWAB & CO., INC.

ICON DISTRIBUTORS, INC.

CHARLES SCHWAB & CO., INC.

SALOMON BROTHERS INC.

KALB, VOORHIS & CO., LLC

MORGAN STANLEY DW INC.

SANWA SECURITIES (USA) CO., L.P.

MABON, NUGENT & CO.

Primary Firm SEC Registration

FOCUSED ALPHA, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1999

Series 63

Date: 9/9/1988

SIE

Date: 10/1/2018

Series 3

Date: 9/20/1994

Series 7

Date: 8/20/1988

Series 8

Date: 9/16/1996

Series 4

Date: 12/17/1994

Current Firm

FOCUSED ALPHA, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUSED ALPHA, LLC

TRUST BUT VERIFY

Contact information

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