FALCON INVESTMENT ADVISORS, LLC
Latest filing: Mar 31, 2025 (259 days ago)
AUM
$3,475,653,401
-24% change vs. 1 year ago
-23% change vs. 3 years ago
-23% change vs. 5 years ago
79% change vs. 10 years ago
Employee Count
30
-17% change vs. 1 year ago
-39% change vs. 3 years ago
-30% change vs. 5 years ago
11% change vs. 10 years ago
Main Office
BOSTON, MA
21 CUSTOM HOUSE STREET, BOSTON, MA, UNITED STATES, 02110
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $3.5 |
| Non-Discretionary | $0.0 |
| Total | $3.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $3.5 |
| Institutional | $0.0 |
| Total | $3.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ONEX CREDIT PARTNERS, LLC | $23.5 | 138941 | |
| ONEX PARTNERS MANAGER LP | $20.6 | 160923 | |
| ONCAP MANAGEMENT PARTNERS L.P. | $3.5 | 161167 | |
| ONEX CANADA ASSET MANAGEMENT INC. | $2.2 | 144928 | |
| ONEX CREDIT ADVISOR, LLC | $0.6 | 330076 | |
| ONEX FALCON PRIVATE CREDIT OPPORTUNITIES VII GP, LP | $0.0 | - | |
| FALCON STRATEGIC INVESTMENTS GP V, LLC | $0.0 | - | |
| FALCON STRATEGIC INVESTMENTS IV, LP | $0.0 | - | |
| ONEX FALCON PRIVATE CREDIT OPPORTUNITIES VII LUXEMBOURG GP | $0.0 | - | |
| FALCON PRIVATE CREDIT INVESTMENTS GP VI (LUXEMBOURG) SARL | $0.0 | - | |
| FALCON STRUCTURED EQUITY INVESTMENTS, LP | $0.0 | - | |
| FALCON STRATEGIC INVESTMENTS GP IV, LLC | $0.0 | - | |
| FALCON PRIVATE CREDIT INVESTMENTS VI, LP | $0.0 | - | |
| FALCON STRUCTURED EQUITY INVESTMENTS GP, LLC | $0.0 | - | |
| FALCON STRATEGIC INVESTMENTS III, LP | $0.0 | - | |
| FALCON STRATEGIC INVESTMENTS V, LP | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
14 active
| Name | Title |
|---|---|
| ALVA, SANDEEP, DRINER | DIRECTOR AND HEAD OF ONEX FALCON |
| GUTMAN, STEVEN, FLOYD | DIRECTOR |
| SCHWARTZ, GERALD WILFRED | SHAREHOLDER |
| DROZD, ZACHARY, STEPHEN | DIRECTOR, CCO AND DEPUTY GENERAL COUNSEL |
| MACK, JOHN, KARL | DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $3.5 | $0.0 | 0% | 30 | 0 | 0% |
| 2025-04-21 | $3.5 | $0.0 | 0% | 30 | 0 | 0% |
| 2024-04-02 | $4.6 | -$1.1 | -24% | 36 | -6 | -17% |
| 2023-04-04 | $4.6 | -$1.1 | -25% | 51 | -21 | -41% |
| 2022-04-01 | $4.5 | -$1.0 | -23% | 49 | -19 | -39% |
| 2021-04-05 | $4.3 | -$0.8 | -19% | 51 | -21 | -41% |
| 2020-04-01 | $4.5 | -$1.0 | -23% | 43 | -13 | -30% |
| 2019-04-01 | $3.0 | $0.5 | 16% | 41 | -11 | -27% |
| 2018-04-02 | $2.7 | $0.8 | 29% | 38 | -8 | -21% |
| 2017-04-01 | $2.6 | $0.8 | 31% | 35 | -5 | -14% |
| 2016-04-01 | $2.6 | $0.9 | 32% | 29 | 1 | 3% |
| 2015-04-01 | $1.9 | $1.5 | 79% | 27 | 3 | 11% |
| 2014-04-01 | $1.7 | $1.8 | 106% | 26 | 4 | 15% |
| 2013-04-01 | $1.3 | $2.2 | 167% | 26 | 4 | 15% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| MA, MA-03/30/2012, NY-03/30/2012 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV