DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Falcon Wealth Planning, Inc.
Legal name Falcon Wealth Planning, LLC
Latest filing Sep 1, 2026
First filing on the tape Feb 16, 2018 · 118 filings
SEC status approved since Mar 19, 2018
RAUM
$2.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$1.9B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$81.5M
derived; firm RAUM over IAPD count
Employees
41
23 advisory (5.B.1)
Offices
44
beyond the principal office
Private funds
0
reported on Schedule D
History
118 filings and snapshots on the tape
RAUM$2.0B as of Aug 28, 2026
Feb 20, 2019$145M then
HNW client RAUM$1.5B as of Aug 28, 2026
Feb 20, 2019$105M then
State-registered IARs (5.B.3)23 as of Aug 28, 2026
Feb 20, 20194 then
Employees (5.A)41 as of Aug 28, 2026
Feb 20, 20199 then
Private funds: no history
RAUM +69% over the last fiscal year+55% a year over threeIARs 22 to 23offices 41 to 44
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $81.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $351,350derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.5derived45 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B76%
- Individuals$438M22%
- Corporations and businesses$33.4M1.7%
- Pension and profit-sharing plans$3.6M0.2%
- Individual clients
- 1,053reported
- HNW clients
- 528reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 5,567reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Min Joseph SongCertified Financial Planner | Ontario, Ca | Mar 19, 2018 | 19 y | 3 |
| Gabriel Abraham ShahinCertified Financial Planner | Ontario, Ca | Mar 19, 2018 | 16 y | 4 |
| Zackary Tyler RoyceCertified Financial Planner | Ontario, Ca | Dec 27, 2018 | 13 y | 0 |
| Kevin Duane MayoCertified Financial Planner | Ontario, Ca | Feb 13, 2020 | 28 y | 3 |
| Ryan Christopher PerryCertified Financial Planner | Ontario, Ca | Jan 8, 2021 | 26 y | 2 |
| Christopher Carreon | Ontario, Ca | Apr 14, 2021 | 21 y | 5 |
| Michael Gregory JensenCertified Financial Planner | Ontario, Ca | Jun 14, 2021 | 13 y | 4 |
| Ray Ramos Bartolome | Ontario, Ca | Nov 16, 2021 | 25 y | 2 |
| Pietro LombardiCertified Financial Planner | Ontario, Ca | Aug 16, 2022 | 23 y | 4 |
| Quinn Carlos CarranzaCertified Financial Planner | Ontario, Ca | Aug 22, 2022 | 15 y | 0 |
| Jamil Moussa AbdullahCertified Financial Planner, Chartered Financial Analyst | Ontario, Ca | Sep 12, 2022 | 14 y | 1 |
| Ricky Vu Perez | Ontario, Ca | Dec 19, 2023 | 12 y | 0 |
| Matthew Abraham ShahinCertified Financial Planner | Gilbert, Az | Jan 25, 2024 | 11 y | 1 |
| Kenneth David VendleyCertified Financial Planner | Ontario, Ca | Jun 3, 2024 | 22 y | 0 |
| Rachel Anne Vonbank | Ontario, Ca | Aug 6, 2024 | 10 y | 1 |
| Marc MelendezCertified Financial Planner | Ontario, Ca | Nov 1, 2024 | 13 y | 1 |
| Cory Brandon GriffithsCertified Financial Planner | Ontario, Ca | Mar 26, 2025 | 14 y | 0 |
| Michael Leon CasterCertified Financial Planner | Gilbert, Az | Apr 4, 2025 | 15 y | 1 |
| Raymond Joseph SicardCertified Financial Planner, Chartered Financial Analyst | Ontario, Ca | Jun 5, 2025 | 10 y | 1 |
| Alexandra Castillo | Ontario, Ca | Nov 10, 2025 | 10 y | 0 |
| Ronald William GuayCertified Financial Planner | San Jose, Ca | Nov 10, 2025 | 20 y | 3 |
| Claudia Frances RodriguezCertified Financial Planner | Traverse City, Mi | May 11, 2026 | 10 y | 2 |
| Dave Anthony BootheCertified Financial Planner | Ontario, Ca | May 11, 2026 | 13 y | 3 |
| Bryan Anthony CassickCertified Financial Planner | Ontario, Ca | May 12, 2026 | 12 y | 3 |
Advisor movement
2 left, 4 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount7 left over 36 months
Left, latest
- Steven Allen Holdsworth to SavvyJun 11, 2026 · RIA to RIA
- Sammy Naief Khalil to Wells Fargo AdvisorsJan 22, 2026 · RIA to wirehouse
- Crystal Rose Kozlak to Brooklyn Fi, LLCMay 5, 2025 · RIA to RIA
- Nicole Marie Amore to Parallel Advisors, LLCMar 26, 2025 · RIA to RIA
- Wendy Claire Dudley to Smartpath AdvisorsJan 9, 2025 · Other
- Kendell Wesley Frye to Clear Creek Financial Management, LLCJul 19, 2024 · RIA to RIA
- Saman Bigharaz to Mercer Global Advisors Inc.Jan 9, 2024 · RIA to RIA
- Sumit Sharma to United Planners' Financial Services Of America A Limited PartnerJun 15, 2022 · RIA to RIA
- Annie Ju-Yin Chen to Pure Financial Advisors, LLCDec 6, 2019 · RIA to RIA
Joined, latest
- Bryan Anthony Cassick from Warren Street Wealth Advisors, LLCMay 12, 2026 · RIA to RIA
- Claudia Frances Rodriguez from Commonwealth Financial NetworkMay 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- Dave Anthony Boothe from Advice And Planning ServicesMay 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ronald William Guay from Prosperity Capital AdvisorsNov 10, 2025 · RIA to RIA
- Raymond Joseph Sicard from FacetJun 5, 2025 · RIA to RIA
- Michael Leon Caster from Vanguard Advisers, Inc.Apr 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- Sammy Naief Khalil from Nyx MorosMar 27, 2025 · Other
- Steven Allen Holdsworth from First Pacific Financial, Inc.Sep 27, 2024 · RIA to RIA
- Matthew Abraham Shahin from Vanguard Advisers, Inc.Jan 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- Nicole Marie Amore from E*Trade Capital Management, LLCJan 11, 2023 · RIA to RIA
- Saman Bigharaz from E*Trade Capital Management, LLCNov 17, 2022 · RIA to RIA
- Jamil Moussa Abdullah from Vance WealthSep 12, 2022 · RIA to RIA
- Pietro Lombardi from E*Trade Capital Management, LLCAug 16, 2022 · RIA to RIA
- Sumit Sharma from Morgan StanleyMay 18, 2022 · Wirehouse to independent RIA
- Ray Ramos Bartolome from Td Ameritrade, Inc.Nov 16, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Abraham Gabriel Shahin · Ceocontrolsince 09/2022 · owns less than 5%
- Anne Rachel Vonbank · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- Abraham Gabriel Shahin · Ownercontrolsince 01/2018 · owns 75% or more of The Falcon Family Revocable Living Trus
- Ramos Ray Bartolome · Chief Operating Officersince 10/2021 · owns less than 5%
- Fredrick Peter Gautreau · Cfosince 09/2018 · owns less than 5%
Entity owners
- Falcon Wealth Holding Co. · Ownerdirect · owns 75% or more
- The Falcon Family Revocable Living Trus · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Falcon Wealth Tax Servicesinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ontario, Ca · principal | 23 | 4 | 2 | ||
| Irvine, Ca | 3 | 0 | 0 | ||
| Gilbert, Az | 2 | 0 | 0 | ||
| Oakbrook Terrace, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA3 employees
- San Diego, CA2 employees
- Pasadena, CA2 employees
- Torrance, CA2 employees
- Oakbrook Terrace, IL2 employees
- Boston, MA1 employees
- Century City, CA1 employees
- Denver, CO1 employees
- Edina, MN1 employees
- Fresno, CA1 employees
- Gilbert, AZ1 employees
- Las Vegas, NV1 employees
- Miami Beach, FL1 employees
- Middleton, WI1 employees
- Milwaukee, WI1 employees
- Monterey, CA1 employees
- Nashville, TN1 employees
- New York, NY1 employees
- Newton Square, PA1 employees
- North Charleston, SC1 employees
- Norwalk, CT1 employees
- Oakland, CA1 employees
- Oklahoma City, OK1 employees
- Palm Desert, CA1 employees
- Portland, OR1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Sep 1, 2026offices per registered advisor of 1.9 against a peer median of 0.3 (529 comparable advisers, 100.0th percentile, 6.7 robust deviations)peers: independent wealth managers, $1B to $5B (529) · 100% percentile
What changed
consecutive filings, newest first
- Business name · FALCON WEALTH PLANNING, INC. to FALCON WEALTH PLANNING, LLCAug 28, 2026 to Sep 1, 2026
- Financial planning clients · More than 500 to More than 500Aug 28, 2026 to Sep 1, 2026
- Succession · true to unsetAug 28, 2026 to Sep 1, 2026
- Accounts · 5,544 to 5,567Jun 11, 2026 to Aug 28, 2026
- Advisory employees · 24 to 23Jun 11, 2026 to Aug 28, 2026
- Corporate clients · 23 to 20Jun 11, 2026 to Aug 28, 2026
- HNW clients · 455 to 528Jun 11, 2026 to Aug 28, 2026
- Individual clients · 1,108 to 1,053Jun 11, 2026 to Aug 28, 2026
- Employees · 42 to 41Jun 11, 2026 to Aug 28, 2026
- State-registered IARs · 24 to 23Jun 11, 2026 to Aug 28, 2026
- Legal name · FALCON WEALTH PLANNING, INC. to FALCON WEALTH PLANNING, LLCJun 11, 2026 to Aug 28, 2026
- Organization form · Corporation to Limited Liability CompanyJun 11, 2026 to Aug 28, 2026
- Discretionary RAUM · $1.9B to $1.9BJun 11, 2026 to Aug 28, 2026
- HNW RAUM · $1.4B to $1.5BJun 11, 2026 to Aug 28, 2026
- Individual RAUM · $451M to $438MJun 11, 2026 to Aug 28, 2026
- Non-discretionary RAUM · $54.2M to $23.4MJun 11, 2026 to Aug 28, 2026
- Pension RAUM · $3.4M to $3.6MJun 11, 2026 to Aug 28, 2026
- RAUM · $1.9B to $2.0BJun 11, 2026 to Aug 28, 2026
- Succession · false to trueJun 11, 2026 to Aug 28, 2026
- Accounts · 5,242 to 5,544Feb 18, 2026 to Jun 11, 2026
- Advisory employees · 23 to 24Feb 18, 2026 to Jun 11, 2026
- Corporate clients · 21 to 23Feb 18, 2026 to Jun 11, 2026
- HNW clients · 430 to 455Feb 18, 2026 to Jun 11, 2026
- Individual clients · 1,048 to 1,108Feb 18, 2026 to Jun 11, 2026
- Pension plan clients · 9 to 10Feb 18, 2026 to Jun 11, 2026
- Employees · 40 to 42Feb 18, 2026 to Jun 11, 2026
- State-registered IARs · 23 to 24Feb 18, 2026 to Jun 11, 2026
- Other offices · 43 to 44Feb 18, 2026 to Jun 11, 2026
- Discretionary RAUM · $1.5B to $1.9BFeb 18, 2026 to Jun 11, 2026
- HNW RAUM · $1.1B to $1.4BFeb 18, 2026 to Jun 11, 2026
- Individual RAUM · $389M to $451MFeb 18, 2026 to Jun 11, 2026
- Non-discretionary RAUM · $44.1M to $54.2MFeb 18, 2026 to Jun 11, 2026
- Pension RAUM · $2.6M to $3.4MFeb 18, 2026 to Jun 11, 2026
- RAUM · $1.6B to $1.9BFeb 18, 2026 to Jun 11, 2026
- Accounts · 3,575 to 5,242Jan 22, 2026 to Feb 18, 2026
- Corporate clients · 10 to 21Jan 22, 2026 to Feb 18, 2026
- HNW clients · 332 to 430Jan 22, 2026 to Feb 18, 2026
- Individual clients · 996 to 1,048Jan 22, 2026 to Feb 18, 2026
- Pension plan clients · 7 to 9Jan 22, 2026 to Feb 18, 2026
- Discretionary RAUM · $1.1B to $1.5BJan 22, 2026 to Feb 18, 2026
Signals
14 dated events
- Falcon Wealth Planning, Inc. reported succeeding to the business of Falcon Wealth Planning, Inc. (Form ADV Item 4)Aug 28, 2026 · Succession (Item 4) · fact
- Steven Allen Holdsworth left Falcon Wealth Planning, Inc. for Savvy (registered 2026-06-12)Jun 11, 2026 · Advisor changed firm · fact
- Falcon Wealth Planning, Inc. reported RAUM $1.6B, up 34% from $1.2B (2026-01-22 to 2026-02-18)Feb 18, 2026 · RAUM change · derived
- Sammy Naief Khalil left Falcon Wealth Planning, Inc. for Wells Fargo Advisors (registered 2026-01-28)Jan 22, 2026 · Advisor changed firm · fact
- Crystal Rose Kozlak left Falcon Wealth Planning, Inc. for Brooklyn Fi, Llc (registered 2025-06-06)May 5, 2025 · Advisor changed firm · fact
- Nicole Marie Amore left Falcon Wealth Planning, Inc. for Parallel Advisors, Llc (registered 2025-03-03)Mar 26, 2025 · Advisor changed firm · fact
- Wendy Claire Dudley left Falcon Wealth Planning, Inc. for Smartpath Advisors (registered 2026-04-01)Jan 9, 2025 · Advisor changed firm · fact
- Anne Rachel Vonbank (Chief Compliance Officer) appeared on Schedule A of Falcon Wealth Planning, Inc.Aug 14, 2024 · Control person joined · fact
- Kendell Wesley Frye left Falcon Wealth Planning, Inc. for Clear Creek Financial Management, Llc (registered 2024-07-24)Jul 19, 2024 · Advisor changed firm · fact
- Saman Bigharaz left Falcon Wealth Planning, Inc. for Mercer Global Advisors Inc. (registered 2024-03-20)Jan 9, 2024 · Advisor changed firm · fact
- Falcon Wealth Planning, Inc. reported 41 offices beyond its principal office, up from 11 (2023-11-08 to 2024-01-02)Jan 2, 2024 · Office count change · derived
- Falcon Wealth Planning, Inc. reported 11 offices beyond its principal office, up from 5 (2022-10-13 to 2023-01-03)Jan 3, 2023 · Office count change · derived
- Sumit Sharma left Falcon Wealth Planning, Inc. for United Planners' Financial Services Of America A Limited Partner (registered 2022-07-05)Jun 15, 2022 · Advisor changed firm · fact
- Falcon Wealth Planning, Inc. filed its initial SEC registration (Form ADV)Feb 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 855-963-2526reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/falcon-wealth-planning-inc-/mycompany/?reportedpublic record, Form ADV, Sep 17, 2026
- Website
- FALCONWEALTHPLANNING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 855-963-2526reportedpublic record, Form ADV, Sep 1, 2026
- Team page
- falconwealthplanning.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $81.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026