Falcon Investment Advisors, LLC (Boston)

Name: Falcon Investment Advisors, LLC
Address: 21 Custom House Street, 10 Th Floor, Boston, MA, 02110
Telephone: 617-412-2700

Falcon Investment Advisors, LLC is a large advisory firm based in Boston. It manages $3 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Massachusetts and New York.

Falcon Investment Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Falcon Investment Advisors: assets under management

The assets under management (AUM) of Falcon Investment Advisors, LLC is $3 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 158% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $599.21 million each.

Falcon Investment Advisors has custody of $3 billion in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Falcon Investment Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Falcon Investment Advisors serves?

The only and largest group of clients of Falcon Investment Advisors is pooled investment vehicles with 5 clients and $3 billion of assets under management. Among the 7 most similar advisory firms, Falcon Investment Advisors has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $3 billion for 5 clients. None of the firm’s clients are foreign persons or businesses.

Falcon Investment Advisors also advises several private funds. Namely, five private equity funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $5,000,000.

Careers at Falcon Investment Advisors, LLC

The company employs 41 people that are either part- or full-time employees. 61 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sandeep Driner Alva	Managing member	1 Jun 2000	25% - 50%	4390860
William Joseph Kennedy	Member, cco	1 Feb 2002	Other	1697268
Rafael Aaron Fogel	Member	1 Jan 2005	Other	2075644
Eric Yale Rogoff	Member	1 Jan 2005	Other	2625202
John Stephan Schnabel	Member	1 Jan 2005	Other	5265381
Matthew Joseph Hurley	Member	1 Jan 2009	Other	4391829
Alva Fia Holdings Llc	Managing member	1 Dec 2012	25% - 50%	46-1596880
Svewvirich Kurt Grasshoff	Member	1 Jan 2015	Other	4017604

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Sandeep Driner Alva	Elected manager	1 Dec 2002	Other	4390860
Nicholas Vaughn Alva	Member with right to receive capital upon dissolution	1 Dec 2012	25% - 50%	6836143
Harrison Rohan Alva	Member with right to receive capital upon dissolution	1 Dec 2012	25% - 50%	6836154
Maxwell Kiran Alva	Member with right to receive capital upon dissolution	1 Dec 2012	25% - 50%	6836159

Based in Boston

The principal office where Falcon Investment Advisors, LLC performs its advisory services is located at 21 Custom House Street, 10 Th Floor, Boston, MA 02110, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-412-2700 or by fax 617-412-2799. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at falconinvestments.com.