FOCUSED ALPHA, LLC

Registered adviser

CIK

2105062

Location

DENVER, CO

Portfolio Value

Small $393,627,965

Diversification

Diversified

Filing Date

Global Rank

#4,497 / 8,825 ▲ 208 · as of Jun 2026

Top Industry

Software - Infrastructure 12.3%

Period ended 35 days ago

Filed Oct 20, 2026 · 15d

4 quarters · since Dec 2025

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 310591

Roster of Nov 1, 2026

Regulatory AUM

$663,949,974

Main clients

Individuals and high net worth (74% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$663,949,974	Individuals and high net worth (74%)
Apr 2025 to Mar 2026	$561,944,040	Individuals and high net worth (73%)
Apr 2024 to Mar 2025	$306,767,401	Individuals and high net worth (65%)
May 2023 to Mar 2024	$257,531,187	Individuals and high net worth (62%)
Apr 2023	$257,531,187	Individuals and high net worth (62%)
Mar 2022 to Mar 2023	$284,115,839	Governments and sovereign funds (52%)

2 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 44.7%, 28.5 effective positions, active share 59.9% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Turnover unknown

It needs four straight quarters of measured turnover

Horizon

Short horizon

Value-weighted holding period 2.8 quarters (under 4)

Closest benchmark: every 13F filer's combined book, active share 59.9%; sector active share 42.3% against the combined 13F book's sector weights.

Over time 3 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

245 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

13.5%

+0.3 pts

Top 5

33.6%

+1.8 pts

Top 10

46.7%

+1.9 pts

HHI

379

Diversified+29

Portfolio Trend

4 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	58.3%	$229,322,039	105
Technology	13.5%	$53,328,776	25
Financial Services	9.4%	$37,091,587	31
Communication Services	4.5%	$17,798,454	7
Healthcare	4.1%	$16,058,913	21
Consumer Cyclical	3.3%	$13,092,066	9
Consumer Defensive	2.1%	$8,201,320	12
Industrials	2.0%	$7,873,590	14
Energy	1.3%	$4,956,888	8
Basic Materials	0.6%	$2,387,431	5
Utilities	0.5%	$2,016,570	5
Real Estate	0.4%	$1,500,331	3

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
GROZ	Zacks Trust	+52,385	350,463	$11,855,462
PULS	PGIM Ultra Short Bond ETF	+50,608	218,570	$10,810,472
UCON	First Trust Smith Unconstrained Bond ETF	+47,842	257,781	$6,121,009
SEPI	Shelton Equity Premium Income ETF	+46,299	300,809	$8,642,242
NMCO	Nuveen Municipal Credit Opportunities Fund	+24,070	66,808	$593,923
XYLD	Global X S&P 500 Covered Call ETF	+21,132	43,350	$1,799,892
JSMD	Janus Henderson Small/Mid Cap Growth Alpha ETF	+16,954	26,833	$2,396,133
NAD	Nuveen Quality Municipal Income Fund	+16,317	98,522	$997,042
SMOT	VanEck Morningstar SMID Moat ETF	+14,937	152,659	$5,720,896
RYLD	Global X Russell 2000 Covered Call ETF	+14,890	54,104	$836,988
FEGE	First Eagle Global Equity ETF	+11,890	132,985	$6,674,517
SCHD	Schwab U.S. Dividend Equity ETF	+11,758	160,927	$5,234,955
PDBC	Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF	+9,497	36,033	$695,436
USB	US Bancorp \De\	+9,274	12,716	$734,476
KO	Coca Cola Co	+7,350	10,300	$886,624
SCHG	Schwab U.S. Large-Cap Growth ETF	+6,138	129,280	$4,645,030
CSCO	Cisco Systems, Inc.	+5,826	25,305	$2,723,577
IBHI	iShares iBonds 2029 Term High Yield and Income ETF	+5,555	44,802	$1,022,829
IBHG	iShares iBonds 2027 Term High Yield and Income ETF	+5,390	53,205	$1,158,804
CAIE	Calamos Autocallable Income ETF	+5,354	19,761	$526,037
TXUE	Thornburg International Equity ETF	+5,159	31,264	$1,085,486
IBHJ	iShares iBonds 2030 Term High Yield and Income ETF	+5,156	29,493	$756,200
IBHH	iShares iBonds 2028 Term High Yield and Income ETF	+5,143	52,022	$1,203,268
JPM	Jpmorgan Chase & Co	+4,663	17,196	$5,688,952
VXUS	Vanguard Total International Stock ETF	+4,149	10,120	$859,795
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
FTRB	Federated Hermes Total Return Bond ETF	−276,906	18,758	$449,254
FDV	Federated Hermes U.S. Strategic Dividend ETF	−173,748	8,576	$269,372
GPIX	Goldman Sachs S&P 500 Premium Income ETF	−96,860	4,783	$267,034
IBDR	iShares iBonds Dec 2026 Term Corporate ETF	−16,089	12,346	$299,267
INTC	Intel Corp	−9,950	2,677	$321,855
CVS	CVS HEALTH Corp	−6,836	6,087	$521,595
C	Citigroup Inc	−5,859	7,462	$966,179
IBDS	iShares iBonds Dec 2027 Term Corporate ETF	−4,239	27,898	$672,899
PTNQ	Pacer Trendpilot 100 ETF	−3,918	2,247	$200,409
IBHF	iShares iBonds 2026 Term High Yield and Income ETF	−3,390	41,555	$936,234
XOM	ExxonMobil Holdings Corp	−3,222	3,187	$518,684
CVX	Chevron Corp	−3,111	5,337	$1,089,868
GOOGL	Alphabet Inc.	−2,887	32,836	$11,298,210
TSLA	Tesla, Inc.	−2,877	1,670	$592,532
SPHQ	Invesco S&P 500 Quality ETF	−2,876	12,250	$1,029,980
FTHY	First Trust High Yield Opportunities 2027 Term Fund	−2,595	22,343	$287,107
NFG	National Fuel Gas Co	−2,489	5,479	$415,636
AMAT	Applied Materials Inc	−2,268	600	$306,828
IVW	iShares S&P 500 Growth ETF	−2,117	15,347	$2,183,264
NVDA	Nvidia Corp	−1,953	26,102	$5,961,174
TXN	Texas Instruments Inc	−1,945	3,686	$1,032,411
META	Meta Platforms, Inc.	−1,892	1,331	$965,214
AMD	Advanced Micro Devices Inc	−1,791	953	$583,007
TQQQ	ProShares UltraPro QQQ	−1,502	18,499	$1,443,476
GS	Goldman Sachs Group Inc	−1,481	665	$598,739
No positions match the current search.

New Positions

Positions the filer opened this quarter

24 positions

Ticker	Company	Shares	Value
PAYR	Federated Hermes Enhanced Income ETF	148,292	$7,718,895
JHCP	John Hancock Core Plus Bond ETF	308,663	$7,355,439
INEQ	Columbia International Equity Income ETF	111,561	$4,424,843
PLTR	Palantir Technologies Inc.	4,202	$785,984
TMO	Thermo Fisher Scientific Inc.	1,162	$784,408
BAC	Bank Of America Corp	13,638	$742,316
NOW	ServiceNow, Inc.	5,496	$736,518
PM	Philip Morris International Inc.	3,587	$684,471
UNP	Union Pacific Corp	2,146	$583,990
UNH	Unitedhealth Group Inc	1,555	$570,809
ACI	Albertsons Companies, Inc.	47,544	$551,985
UTHR	UNITED THERAPEUTICS Corp	992	$537,554
CRM	Salesforce, Inc.	2,288	$525,256
SPG	Simon Property Group Inc.	2,586	$519,165
SYY	Sysco Corp	6,034	$470,410
IMAX	Imax Corp	7,909	$433,413
IBDY	iShares iBonds Dec 2033 Term Corporate ETF	14,686	$359,513
CRS	Carpenter Technology Corp	914	$355,381
EC	Ecopetrol S.A.	20,272	$334,082
IBIT	iShares Bitcoin Trust ETF	6,347	$300,466
CECO	Ceco Environmental Corp	3,682	$256,414
IBHL	iShares iBonds 2032 Term High Yield and Income ETF	9,488	$232,171
PG	PROCTER & GAMBLE Co	1,541	$223,876
—		7,868	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
GLW	Corning Inc	7,690	$1,964,256
LRCX	Lam Research Corp	3,094	$1,340,723
TER	Teradyne, Inc	1,779	$860,751
FCX	Freeport-Mcmoran Inc	12,306	$773,924
ORLY	O Reilly Automotive Inc	7,337	$675,664
APP	AppLovin Corp	1,268	$653,311
NEE	Nextera Energy Inc	7,018	$615,969
LMT	Lockheed Martin Corp	1,151	$586,388
QCOM	Qualcomm Inc	2,825	$522,031
COP	Conocophillips	4,700	$488,612
PKE	Park Aerospace Corp	12,744	$486,311
MTUM	iShares MSCI USA Momentum Factor ETF	1,295	$443,964
PTMC	Pacer Trendpilot US Mid Cap ETF	10,512	$439,716
ORCL	Oracle Corp	2,929	$429,244
NXST	Nexstar Media Group, Inc.	2,373	$423,794
UCTT	Ultra Clean Holdings, Inc.	2,906	$414,366
EME	EMCOR Group, Inc.	476	$395,022
TRP	Tc Energy Corp	5,692	$377,322
MKL	Markel Group Inc.	191	$373,024
LITE	Lumentum Holdings Inc.	433	$371,539
ROST	Ross Stores, Inc.	1,721	$366,314
AXIAY	AXIA Energia S.A.	33,783	$356,754
MKSI	Mks Inc	793	$352,726
GHM	Graham Corp	2,518	$311,703
ARLO	Arlo Technologies, Inc.	22,408	$302,059
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

245 tracked positions · $393,627,965 total · filing declares 249 positions · $401,997,663 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 245 positions by value · page 1 of 5

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
IVV	iShares Core S&P 500 ETF	Added	30,789	+3,356	$23,579,755	+14.8%	5.99%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	50,040	+3,015	$18,726,969	+7.6%	4.76%
MSFT	Microsoft Corp Technology	Added	35,396	+874	$18,154,608	+41.0%	4.61%
GROZ	Zacks Trust	Added	350,463	+52,385	$11,855,462	+25.2%	3.01%
GOOGL	Alphabet Inc. Communication Services	Reduced	32,836	-2,887	$11,298,210	−11.5%	2.87%
AAPL	Apple Inc. Technology	Reduced	32,768	-340	$10,912,399	+13.9%	2.77%
PULS	PGIM Ultra Short Bond ETF	Added	218,570	+50,608	$10,810,472	+29.9%	2.75%
SYFI	AB Short Duration High Yield ETF	Added	291,297	+679	$10,175,004	−2.0%	2.58%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	38,357	-1,118	$9,556,646	+1.6%	2.43%
VTV	VANGUARD VALUE INDEX FUND	Added	40,381	+2,827	$8,725,526	+6.6%	2.22%
SEPI	Shelton Equity Premium Income ETF	Added	300,809	+46,299	$8,642,242	+21.9%	2.20%
PAYR	Federated Hermes Enhanced Income ETF	NEW	148,292	NEW	$7,718,895	NEW	1.96%
JHCP	John Hancock Core Plus Bond ETF	NEW	308,663	NEW	$7,355,439	NEW	1.87%
SPY	Spdr S&P 500 ETF Trust	Added	9,089	+413	$6,931,544	+7.0%	1.76%
FEGE	First Eagle Global Equity ETF	Added	132,985	+11,890	$6,674,517	+12.7%	1.70%
UCON	First Trust Smith Unconstrained Bond ETF	Added	257,781	+47,842	$6,121,009	+17.2%	1.56%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	12,286	+64	$6,117,813	+0.0%	1.55%
NVDA	Nvidia Corp Technology	Reduced	26,102	-1,953	$5,961,174	+6.2%	1.51%
SMOT	VanEck Morningstar SMID Moat ETF	Added	152,659	+14,937	$5,720,896	+6.9%	1.45%
JPM	Jpmorgan Chase & Co Financial Services	Added	17,196	+4,663	$5,688,952	+38.7%	1.45%
PREF	Principal Spectrum Preferred Securities Active ETF	Added	298,041	+1,307	$5,469,052	−3.3%	1.39%
SCHD	Schwab U.S. Dividend Equity ETF	Added	160,927	+11,758	$5,234,955	+10.7%	1.33%
MA	Mastercard Inc Financial Services	Added	8,834	+1,448	$4,871,685	+28.4%	1.24%
SCHG	Schwab U.S. Large-Cap Growth ETF	Added	129,280	+6,138	$4,645,030	+11.5%	1.18%
DGRO	iShares Core Dividend Growth ETF	Added	59,013	+1,470	$4,448,990	+2.0%	1.13%
INEQ	Columbia International Equity Income ETF	NEW	111,561	NEW	$4,424,843	NEW	1.12%
GOOG	Alphabet Inc. Communication Services	Reduced	11,970	-9	$4,078,657	−3.6%	1.04%
V	Visa Inc. Financial Services	Added	10,971	+350	$3,942,209	+8.2%	1.00%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Added	21,635	+377	$3,357,752	−0.0%	0.85%
VIG	Vanguard Specialized Funds	Added	13,237	+190	$3,088,324	+0.0%	0.78%
CSCO	Cisco Systems, Inc. Technology	Added	25,305	+5,826	$2,723,577	+19.0%	0.69%
COST	Costco Wholesale Corp Consumer Defensive	Reduced	2,790	-110	$2,539,848	−6.4%	0.65%
JSMD	Janus Henderson Small/Mid Cap Growth Alpha ETF	Added	26,833	+16,954	$2,396,133	+139.6%	0.61%
EMLP	First Trust North American Energy Infrastructure Fund	Added	57,829	+2,333	$2,370,410	−1.8%	0.60%
URTH	iShares MSCI World ETF	Held	11,416	0	$2,354,321	+1.8%	0.60%
IVE	iShares S&P 500 Value ETF	Reduced	10,110	-175	$2,307,910	−1.2%	0.59%
BRK-A	Berkshire Hathaway Inc Financial Services	Held	3	0	$2,241,015	−0.2%	0.57%
EFA	iShares MSCI EAFE ETF	Held	21,507	0	$2,234,362	+0.0%	0.57%
IVW	iShares S&P 500 Growth ETF	Reduced	15,347	-2,117	$2,183,264	−9.1%	0.55%
SMIZ	Zacks Small/Mid Cap ETF	Reduced	52,822	-1,060	$2,162,004	−10.1%	0.55%
VUG	VANGUARD GROWTH INDEX FUND	Added	23,342	+156	$2,103,347	+5.3%	0.53%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Added	4,429	+219	$2,020,465	+0.5%	0.51%
IWM	iShares Russell 2000 ETF	Added	7,238	+38	$2,011,367	−7.0%	0.51%
XYLD	Global X S&P 500 Covered Call ETF	Added	43,350	+21,132	$1,799,892	+98.6%	0.46%
IEFA	iShares Core MSCI EAFE ETF	Added	17,450	+1,864	$1,690,556	+12.3%	0.43%
AMGN	Amgen Inc Healthcare	Added	3,851	+290	$1,623,235	+25.9%	0.41%
BIO	Bio-Rad Laboratories, Inc. Healthcare	Held	4,205	0	$1,588,270	+28.6%	0.40%
GE	General Electric Co Industrials	Added	5,047	+1,216	$1,576,127	+10.1%	0.40%
QQQ	Invesco Qqq Trust, Series 1	Reduced	2,063	-128	$1,526,145	−5.4%	0.39%
TQQQ	ProShares UltraPro QQQ	Reduced	18,499	-1,502	$1,443,476	−10.9%	0.37%

Showing the top 50 of 245 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.