Tempe, AZ Office

Focused Alpha, LLC is a SEC-registered advisory firm managing roughly $664 million for a multi-advisor team and advising individuals, high-net-worth clients, trusts, corporations, retirement plans, and certain public entities. It offers discretionary portfolio management, standalone and integrated financial planning, 401(k) plan consulting and participant education, and periodic workshops and seminars.

The firm describes a rules-based, behaviorally informed investment process that emphasizes tail-risk management and “emotion-free” decision making (an “ESP” approach), using quantitative optimization, technical and computer-based analysis to construct portfolios. Portfolios typically include stocks, ETFs, mutual funds and fixed income and may incorporate options, digital assets, structured products, and the use of third-party sub-advisers accessed through Fidelity’s FMAX platform.

Noteworthy differences from many peers include operating portfolio management exclusively as a wrap-fee program sponsor and disclosing that advisory personnel are also licensed to sell insurance and may receive commissions for insurance product sales. The brochure also identifies municipal and other government entities among its client types and discloses the firm’s principals’ outside business investments and relationships, which the firm notes can create referral or conflict-of-interest considerations.