Falcon Point Capital, LLC (San Francisco)

Name: Falcon Point Capital, LLC
Address: Two Embarcadero Center, San Francisco, CA, 94111
Telephone: 415-782-9600

Falcon Point Capital, LLC is a large advisory firm based in San Francisco. It manages $619.64 million of regulatory assets for 19 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California and Washington.

Falcon Point Capital provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. 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 Point Capital: assets under management

The assets under management (AUM) of Falcon Point Capital, LLC is $619.64 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 439% since the beginning of its operation, and $113.12 million of the total AUM is attributable to clients outside of the United States.

The firm manages $619.64 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $32.61 million each.

Falcon Point Capital has custody of $23.43 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Falcon Point Capital, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Falcon Point Capital serves?

The firm provides services to investment companies, high net worth individuals, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Falcon Point Capital is investment companies with 4 clients and $258.78 million of assets under management. Among the 11 most similar advisory firms, Falcon Point Capital has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $619.64 million for 19 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 9% of the firm’s clients are foreign persons or businesses.

Falcon Point Capital also advises several private funds. Namely, five hedge funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $1,000,000.

Careers at Falcon Point Capital, LLC

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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
Michael James Mahoney	Senior portfolio manager and senior managing director	1 Dec 2004	25% - 50%	1112653
James Allen Bitzer	Senior portfolio manager and senior managing director	1 Dec 2004	25% - 50%	4595351
Michael Lorne Thomas	Senior portfolio manager	1 Dec 2004	Other	2536844
William Ellison Grayson	President, secretary, chief compliance officer, senior managing director	1 Dec 2004	Other	2847729
Lalaine Valencia Le	Chief compliance officer	1 Sep 2009	Other	5775410

Based in San Francisco

The principal office where Falcon Point Capital, LLC performs its advisory services is located at Two Embarcadero Center, San Francisco, CA 94111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-782-9600 or by fax 415-782-9694. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at falconpointcapital.com/.