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- Custodian
- Charles Schwab & Company · First Clearing · Interactive Brokers · Wells Fargo
- Clients
- Retail and Institutional
- Platforms
- Available
- Established Date
- 01-24-2012
- Office Locations
- 1
Office Locations
About Falcon Financial
Falcon Financial (Falcon Investment Strategies LLC) is a North Carolina-registered RIA founded in 2012 by Seth Waller, serving clients across North Carolina. The team provides disciplined portfolio management and straightforward financial planning, including retirement and insurance solutions. Portfolios primarily use public funds and ETFs, and the firm supports custody on platforms such as Charles Schwab. The practice rebranded to Falcon Financial in 2023 after acquiring James F. Mundy Inc. in 2022.
Team overview
Insights
Asset Classes
Custodian
Investment Themes
Investment Vehicles
Platform
Services
Technology
Owner & Executives
SETH DUSTIN WALLER MR.
Investment Advisor, President
- CRD
- #5543333
- Ownership
- 75% or more
Natalie Penley Ervin
Chief Compliance Officer
- CRD
- --
- Ownership
- Less than 5%
Showing 2 of 2 owners & executives
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RUSS MOORE ADAMS
--
- CRD
- #7615011
STEPHEN MICHAEL GEGOREK II
--
- CRD
- #6277430
Showing 2 of 4 contacts
Unlock allAssets Under Management
No AUM history available
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $101,359,450 | -- |
| Non-Discretionary | $0 | -- |
| Total | $101,359,450 | -- |
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Separately Managed Accounts
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | Available | Available |
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| Municipal Bonds | Available | Available |
| U.S. Government/Agency | Available | Available |
| Total | Available | Available |
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