{ "crd_number": 161548, "slug": "falcon-investment-advisors-llc-boston-ma-161548", "primary_business_name": "FALCON INVESTMENT ADVISORS, LLC", "legal_name": "FALCON INVESTMENT ADVISORS, LLC", "dbas": [], "city": "Boston", "state": "MA", "country": "United States", "cbsa_code": "14460", "metro": { "cbsa_code": "14460", "common_name": "Boston", "msa_name": "Boston-Cambridge-Newton, MA-NH", "path": "/advisors/ma/boston" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-03-30", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 3270478250.0, "raum_discretionary": 3270478250.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 33, "advisory_employees": 21, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 3270478250.0, "count": 14 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "MA", "NY" ], "websites": [ "https://falconinvestments.com/team", "https://linkedin.com/company/falconinvestment-advisors" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/161548", "city_as_filed": "BOSTON", "url": "https://advisorcensus.com/firm/falcon-investment-advisors-llc-boston-ma-161548", "display_name": "Falcon Investment Advisors, LLC", "summary": "Falcon Investment Advisors, LLC is an SEC-registered investment advisory firm in Boston, MA, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Falcon Investment Advisors, LLC (CRD 161548): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Falcon Investment Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Falcon Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Falcon Investment Advisors, LLC located?", "a": "Falcon Investment Advisors, LLC's principal office is in Boston, MA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Falcon Investment Advisors, LLC registered with the SEC or a state?", "a": "Falcon Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 161548." }, { "q": "How much does Falcon Investment Advisors, LLC manage?", "a": "Falcon Investment Advisors, LLC reports $3,270,478,250 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Falcon Investment Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Falcon Investment Advisors, LLC: Regulatory assets under management: $4,307,012,135 in the October 2021 data and $3,270,478,250 in the October 2026 data, down 24%. Total employees: 51 in October 2021 and 33 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Falcon Investment Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (14)." }, { "q": "Does Falcon Investment Advisors, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/161548" }, { "q": "Does Falcon Investment Advisors, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"In general, the minimum investment commitment required of an institutional limited partner to participate in a Falcon Fund is $5,000,000; however, the General Partner of each Falcon Fund has discretion to increase, reduce or waive the minimum investment commitment.\"" }, { "q": "What changed in Falcon Investment Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 18 to 21." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4307012135.0, "total_employees": 51, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4488525972.0, "total_employees": 49, "filing_date": "2022-06-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4624371864.0, "total_employees": 51, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4584417612.0, "total_employees": 30, "filing_date": "2024-07-12" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3475653401.0, "total_employees": 30, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3270478250.0, "total_employees": 33, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 18 to 21." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 30, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$5,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $5,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "In general, the minimum investment commitment required of an institutional limited partner to participate in a Falcon Fund is $5,000,000; however, the General Partner of each Falcon Fund has discretion to increase, reduce or waive the minimum investment commitment." ] } ], "quotes": [ "In general, the minimum investment commitment required of an institutional limited partner to participate in a Falcon Fund is $5,000,000; however, the General Partner of each Falcon Fund has discretion to increase, reduce or waive the minimum investment commitment." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/falcon-investment-advisors-llc-boston-ma-161548.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 14, "fewer_than_5": false, "raum": 3270478250.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/161548", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }