Focused Alpha, LLC

Focused Alpha, LLC is a financial advisor firm established in August 2020 and approved to conduct business in March 2021. The firm specializes in portfolio management services, offering both discretionary and non-discretionary services primarily involving stocks, exchange-traded funds, and bonds. Clients have the option to customize their portfolios based on jointly established guidelines. FA may also provide a variety of investment strategies tailored to retail clients' needs. The firm emphasizes risk management, behavior finance, and a process-driven approach to investing. Clients are required to have a minimum account size of $250,000, although FA may waive this requirement at its discretion. The firm charges fees based on a wrap fee program, with financial planning fees ranging from $500 to $25,000 on a fixed fee basis. FA also offers hourly financial planning at a rate of $350 per hour. The firm does not charge performance-based fees or engage in side-by-side management, ensuring that its interests align with clients' best interests. FA has custody of client assets for fee deduction purposes and may exercise investment discretion with client authorization. The firm reviews client accounts at least semi-annually, with more frequent reviews triggered by specific events. FA does not engage in directed brokerage or soft dollar arrangements and does not pay for client referrals. The firm receives economic benefits from custodians and may participate in institutional customer programs. Additionally, FA does not have any financial issues that would impair its ability to serve clients.