# Falcon Financial

> Falcon Financial is a state-registered investment advisory firm in Salisbury, NC, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 22, 2026.

- CRD: 160615
- Filed as: FALCON FINANCIAL
- Legal name: Falcon Investment Strategies LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Salisbury, NC
- Filing period: October 2026
- Form ADV filing dated: February 22, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/160615
- AdvisorCensus page: https://advisorcensus.com/firm/falcon-financial-salisbury-nc-160615

## Quick answers

**How is Falcon Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Falcon Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other.

**Where is Falcon Financial located?**
Falcon Financial's principal office is in Salisbury, NC, according to its Form ADV.

**Is Falcon Financial registered with the SEC or a state?**
Falcon Financial is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 160615.

**How much does Falcon Financial manage?**
Falcon Financial reports $101,359,450 in regulatory assets under management in its Form ADV filing dated February 22, 2026 (100% discretionary).

**What types of clients does Falcon Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (294); high net worth individuals (29); corporations or other businesses not listed above (19).

**Does Falcon Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/160615

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Regulatory assets under management (Item 5.F)
- Total: $101,359,450
- Discretionary: $101,359,450
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 294 | $40,218,244 |
| High net worth individuals | 29 | $57,243,268 |
| Corporations or other businesses not listed above | 19 | $3,897,938 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2012 (14 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- falconfinancialnc.com
- LinkedIn @seth-waller-a970b01b

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Falcon Financial (CRD 160615): Form ADV filing data as of October 2026.