DB
Daniel I. Barotz
FOCUSED ALPHA
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5114484
DB
Professional summary
Daniel I Barotz is a registered financial advisor currently at FOCUSED ALPHA, LLC located in Denver, Colorado.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)TEMPLE EMANUEL / 51 GRAPE STREET DENVER CO 80220 / OTHER / CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / RELIGIOUS ENTITY / MEMBER OF A COMMITTEE REPRESENTING THE INTERESTS OF ANY THIRD PARTY/PARTIES WITH A RELATIONSHIP WITH THE ORGANIZATION (I.E. CREDITOR'S COMMITTEE) / INVESTMENT COMMITEE MEMBER / START DATE 06/01/2011. 2)TALIORED CATERING SOLITIONS / DENVER CO 80211 / PARTNERSHIP / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / CATERING LOGISTICS / PARTNER / INVESTOR / START DATE 07/01/2011. 3)EcoMark Solar: Advisory Board Member, Investor EcoMark Solar offers solar panel consultation and design to financing, solar installation, and aftercare 4)PackBack: Investor PackBack enables inquiry-based online discussion at scale. Using AI, the platform acts as a Digital TA to coach students to ask their open-ended questions, auto-moderate the discussion, and help instructors amplify the impact of their feedback 5)SMRxt: Investor SMRxt's medication adherence system, Nomi, captures data to reveal how patients take medication. 6)Daniel Barotz is a licensed insurance agent and may recommend insurance products offered by such carriers for whom he functions as an agent and receive a commission for doing so.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel I Barotz's 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®
NoneExperience
Current
January 13, 2021 - Present
FOCUSED ALPHA, LLC
Office #1: 1401 Lawrence Street Suite 1600, Denver, CO 80202RIA
CRD#: 310591
Denver, CO
Past
August 26, 2011 - January 22, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
August 26, 2011 - January 22, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DENVER, CO
Past
June 1, 2009 - September 7, 2011
MORGAN STANLEY
RIA
CRD#: 149777
CENTENNIAL, CO
Past
June 1, 2009 - September 7, 2011
MORGAN STANLEY
BD
CRD#: 149777
CENTENNIAL, CO
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CENTENNIAL, CO
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CENTENNIAL, CO
Past
February 16, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CENTENNIAL, CO
Past
February 16, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CENTENNIAL, CO
Past
September 11, 2006 - February 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREENWOOD VILLAGE, CO
Past
May 3, 2006 - February 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREENWOOD VILLAGE, CO
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".
FA
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)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(1/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
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)Upgrade to AdvisorCheck Premium
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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
9
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,481 |
| AUM (Assets Under Management) | $ 561,944,040 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
