Harbinger Capital Partners Llc
- Regulatory AUM
- $134M
- Discretionary
- $134M
- Clients
- 16
- Avg AUM / client
- $8.4M
- Accounts
- 14
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 16 | $134M | 100.0% |
Private funds (5)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $336M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Harbinger Capital Partners Master Fund I, Ltd. master | Hedge Fund | Cayman Islands | $220M | 715 |
| Harbinger Capital Partners Special Situations Fund, L.P. master | Hedge Fund | Delaware | $79.4M | 225 |
| Credit Distressed Blue Line Master Fund, Ltd. master | Hedge Fund | Cayman Islands | $30.0M | 43 |
| Global Opportunities Breakaway Fund, L.P. | Hedge Fund | Cayman Islands | $7.1M | 2 |
| Harbinger Dedicated Investor Intermediate Fund L.P. master | Hedge Fund | Cayman Islands | $0 | 2 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Falcone, Philip, Alan | Senior Managing Director, Ceo, Chief Investment Officer, President, Treasurer And Member | Dec 2008 (18y) | ≈ 56.25% – 100% via Harbinger Holdings, Llc | |
| Orr, Jonathan | Cco | Oct 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Harbinger Holdings, Llc | Manager | Feb 2009 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Falcone, Philip, Alan: 75% – 100% of Harbinger Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (5, $336M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Harbinger Capital Partners Master Fund I, Ltd. | Hedge Fund | $220M | $5.0M | 715 |
| Harbinger Capital Partners Special Situations Fund, L.P. | Hedge Fund | $79.4M | $5.0M | 225 |
| Credit Distressed Blue Line Master Fund, Ltd. | Hedge Fund | $30.0M | $5.0M | 43 |
| Global Opportunities Breakaway Fund, L.P. | Hedge Fund | $7.1M | $5.0M | 2 |
| Harbinger Dedicated Investor Intermediate Fund L.P. | Hedge Fund | $0 | $5.0M | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2025 | 2.78 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Status: UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK, NEW YORK, NEW YORK, 12 CIV. 5028
Allegations: 06/27/2012 Status: Y
Allegations: SEC ALLEGED THAT HARBINGER WILLFULLY VIOLATED RULE 105 OF REGULATION M UNDER THE SECURITIES EXCHANGE ACT OF 1934 ON THREE SEPARATE OCCASIONS. Status: Final Sanction Detail: ON JULY 9, 2012, HARBINGER CAPITAL PARTNERS LLC PAID DISGORGEMENT IN THE AMOUNT OF $857,950, PREJUDGMENT INTEREST IN THE AMOUNT OF $91,838, AND A CIVIL MONETARY PENATLY IN THE AMOUNT OF $428,975. NO PORTION OF THE PENALTY WAS WAIVED. Summary: SEC ISSUED A CEASE-AND-DESIST ORDER AGAINST HARBINGER FOR THREE VIOLATIONS OF RULE 105 OF REGULATION M. THIS ORDER CENSURES HARBINGER AND REQUIRES HARBINGER TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 105 OF REGULATION M. HARBINGER HAS PAID DISGORGEMENT, PREJUDGMENT INTEREST AND A CIVIL MONETARY PENALTY. HARBINGER CONSENTED TO THE ISSUANCE OF THIS ORDER WIHOUT ADMITTING OR DENYING ANY OF THE FINDINGS CONTAINED THEREIN.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2025.
View current Form ADV (SEC/IAPD) ↗