Wealth manager, independent · Ontario, CA
Falcon Wealth Planning, LLC
SEC-registered investment adviser · CRD 174092 · SEC 801-112659
At a glance
Falcon Wealth Planning, LLC is an SEC-registered investment adviser based in Ontario, California, with $2.0B in regulatory assets under management as of its Form ADV filed September 25, 2026. It reports 1,581 individual clients, 528 of them high-net-worth, holding an average of about $1.2 million each, and 40 employees. That ranks it 570th among the nation’s 5,657 independent wealth management RIAs and 70th of 714 in California. It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab.
Up $36M from $1.9B in its previous filing; rank 585 → 570. This month’s movers →
Main office 855-963-2526falconwealthplanning.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.0B
- Rank among independent wealth managers
- #570 of 5,657
- Rank among all SEC RIAs
- #3,682 of 17,210
- Rank in California
- #70 of 714
- Individual clients
- 1,581
- High-net-worth clients
- 528
- Accounts
- 5,567
- Discretionary
- 99% of AUM
- Employees
- 40
- Advisory staff
- 22
- Offices
- 45
Owners and executives on its Form ADV
- Gabriel A. ShahinCEO
- Peter F. GautreauCFO
- Ray R. BartolomeChief Operating Officer
- Rachel A. VonbankChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Falcon Wealth Planning, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 528 | $1.5B | 76% |
| Individuals | 1,053 | $438M | 22% |
| Corporations or other businesses | 20 | $33M | 2% |
| Pension and profit sharing plans | 10 | $4M | <1% |
Disciplinary disclosures
Falcon Wealth Planning, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗falconwealthplanning.com ↗
AtlasMembers
The full record on Falcon Wealth Planning, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 2,026 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Fairview CapitalGreenbrae | $2.0B | 241 |
| JSF Financial, LLCLOS Angeles | $2.0B | 791 |
| HCR Wealth AdvisorsLOS Angeles | $2.0B | 937 |
| RVW Wealth LLCLOS Angeles | $1.9B | 1,029 |
| Rebalance LLCPalo Alto | $1.9B | 636 |
| Private Wealth Partners, LLCMill Valley | $1.9B | 253 |
Background
Questions
How much does Falcon Wealth Planning, LLC manage?
Falcon Wealth Planning, LLC reports $2.0B in regulatory assets under management across 5,567 accounts, 99% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
How many clients does Falcon Wealth Planning, LLC have?
It reports 1,581 individual clients: 528 high-net-worth individuals and 1,053 other individuals. Individuals account for about 98% of its regulatory assets.
Where is Falcon Wealth Planning, LLC headquartered?
Its main office is in Ontario, California. It reports 45 offices in total and 40 employees, 22 of whom perform investment advisory functions.
How does Falcon Wealth Planning, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Falcon Wealth Planning, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Fidelity and Charles Schwab. On Schedule D of its Form ADV filed September 25, 2026, it reports these amounts held: Fidelity ($1.1B); Charles Schwab ($741M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Falcon Wealth Planning, LLC a hybrid RIA with a broker-dealer?
Falcon Wealth Planning, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Falcon Wealth Planning, LLC a fiduciary?
As an SEC-registered investment adviser, Falcon Wealth Planning, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Falcon Wealth Planning, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →