Adam D. Falcon

PRINCETON ASSET MANAGEMENT

Boca Raton, FL 33487

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CRD#: 5986933

Professional summary

Adam Duval Falcon is a registered financial advisor currently at PRINCETON ASSET MANAGEMENT, LLC located in Boca Raton, Florida and PRINCETON INVESTMENT MANAGEMENT, LLC located in Boca Raton, Florida.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Adam has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Princeton Asset Management, LLC, Chief Investment Officer

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Duval Falcon's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 24, 2015 - Present

PRINCETON ASSET MANAGEMENT, LLC

Office #1: 621 Nw 53rd Street Suite 240, Boca Raton, FL 33487

RIA

CRD#: 148087

Boca Raton, FL

Current

October 8, 2021 - Present

PRINCETON INVESTMENT MANAGEMENT, LLC

Office #1: 621 Nw 53rd St Suite 240, Boca Raton, FL 33487

RIA

CRD#: 312971

Boca Raton, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

District of Columbia
(6/25/2018)

IAR

Florida
(9/16/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2001

Uniform Investment Adviser Law Examination

Current Firm

PRINCETON ASSET MANAGEMENT, LLC

PRINCETON ASSET MANAGEMENT, LLC | RUI FALCON

CRD#: 148087 / SEC#:

District of Columbia

Registered Investment Advisory firm - (3/27/2012 Approved)

Florida

Registered Investment Advisory firm - (3/20/2012 Approved)

Virginia

Registered Investment Advisory firm - (11/19/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

621 Nw 53rd Street Suite 240, Boca Raton, FL 33487

Mailing Address

Phone number

(561) 800-0049

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 69,237,486

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Adam D. Falcon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Duval Falcon's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCETON ASSET MANAGEMENT, LLC

PRINCETON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2001

Current Firm

PRINCETON ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRINCETON ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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