M. D. Falk & Company, Inc.

Overview

M. D. Falk & Company, Inc. is a small, owner-operated advisory firm focused on discretionary portfolio management for individuals and small businesses. The firm charges fees as a percentage of assets under management and concentrates its activity on equity-oriented portfolios, using exchange-traded equities as the dominant building block. It is not positioned as an ESG investor, does not act as a multi-state adviser, and is not classed as a capital allocator. Advisory work is delivered through direct portfolio management rather than large-scale institutional services, which points to a boutique, hands-on approach to client relationships. The firm supplements its equity exposure with mutual funds and corporate debt for fixed-income or tactical allocation needs and has access to a range of alternative investment vehicles — hedge funds, private placements, real estate and REITs — which it can deploy when appropriate for a client’s objectives. Portfolios are custodied at a major wirehouse custodian, indicating integration with established brokerage and custody infrastructure for trade execution and settlement.

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