Falcon Investment Strategies Llc
State-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 160615
· Salisbury, NC
· www.linkedin.com
☆ Save with Pro
ADV data as of Feb 22, 2026
- Regulatory AUM
- $101M
- Discretionary
- $101M
- Clients
- 342
- Avg AUM / client
- $296K
- Accounts
- 632
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 294 | $40.2M | 39.7% |
| High net worth individuals | 29 | $57.2M | 56.5% |
| Corporations and other businesses | 19 | $3.9M | 3.85% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Seth Dustin Waller | Registered representative | Jan 2012 (15y) | ||
| Stephen Michael Gegorek | Registered representative | Jan 2022 (5y) | ||
| Russ Moore Adams | Registered representative | Aug 2022 (4y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/22/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SELECTION OF OTHER ADVISORS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $84.0M (83% of AUM) Feb 2026
- Interactive Brokers $11.2M (11% of AUM) Feb 2026
- Wells Fargo $6.2M (6% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 22, 2026.
View current Form ADV (SEC/IAPD) ↗