# HARBINGER CAPITAL PARTNERS LLC

HARBINGER CAPITAL PARTNERS LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 160538
- Type: SEC-registered investment adviser
- SEC file number: 801-74005
- Location: 1965 BROADWAY, SUITE 28E, NEW YORK, NY, 10023
- Phone: 212-518-4177
- Latest filing: 2025-03-25
- Regulatory AUM: $134.2M
- Discretionary AUM: $134.2M
- Clients: 1
- Accounts: 14

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Investment cos

## Officers, owners & control persons (10)

| Name | Role | Location |
| --- | --- | --- |
| [Philip Alan Falcone](https://search.stillhousedata.com/person/712145) | MANAGING MEMBER; SENIOR MANAGING DIRECTOR, CEO, CHIEF INVESTMENT OFFICER, PRESIDENT, TREASURER AND MEMBER | — |
| [Jonathan Orr](https://search.stillhousedata.com/person/712146) | CCO | Westbury, NY |
| [HLADEK ROBERT MICHAEL](https://search.stillhousedata.com/person/742015) | CHIEF FINANCIAL OFFICER OF HARBINGER CAPITAL PARTNERS II LP; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER OF HARBINGER CAPITAL PARTNERS LLC (+1 more) | — |
| [ROGER ROBIN NA](https://search.stillhousedata.com/person/766029) | CHIEF COMPLIANCE OFFICER, CO-CHIEF OPERATING OFFICER, MANAGING DIRECTOR AND GENERAL COUNSEL OF HARBINGER CAPITAL PARTNERS LLC; MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY OF HARBINGER CAPITAL PARTNERS II LP | — |
| [FALCONE PHILIP ALAN](https://search.stillhousedata.com/person/799219) | LIMITED PARTNER; MANAGING MEMBER; SENIOR MANAGING DIRECTOR, CEO, CHIEF INVESTMENT OFFICER, PRESIDENT, TREASURER AND MEMBER (+2 more) | — |
| [ESTUS IAN W](https://search.stillhousedata.com/person/823183) | MEMBER OF HARBINGER CAPITAL PARTNERS LLC; VICE PRESIDENT OF HARBINGER CAPITAL PARTNERS II LP; VICE PRESIDENT OF HARBINGER CAPITAL PARTNERS LLC | — |
| [CHOI JUNG TAE](https://search.stillhousedata.com/person/826444) | DIRECTOR OF HARBINGER CAPITAL PARTNERS PTE. LTD. | — |
| [MCGINNIS JAMES PATRICK](https://search.stillhousedata.com/person/835116) | DIRECTOR OF HARBINGER CAPITAL PARTNERS PTE. LTD. | — |
| [DELMAN ALAN STEVEN](https://search.stillhousedata.com/person/864368) | CHIEF COMPLIANCE OFFICER | — |
| [Orr Jonathan](https://search.stillhousedata.com/person/885186) | CCO | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2012-06-27 | regulatory | SEC ALLEGED THAT HARBINGER WILLFULLY VIOLATED RULE 105 OF REGULATION M UNDER THE SECURITIES EXCHANGE ACT OF 1934 ON THREE SEPARATE OCCASIONS. | Final | $429K |
| 2012-06-27 | civil | SEC ALLEGES VIOLATIONS OF THE ANTI-FRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH A LOAN MADE BY HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. TO PHILIP A. FALCONE IN OCTOBER 2009 AND THE CIRCUMSTANCES AND DISCLOSURE REGARDING ALLEGED PREFERENTIAL TREATMENT OF, AND AGR… | Final | $10.5M |
| 2012-06-27 | civil | SEC ALLEGES VIOLATION OF THE ANTI-FRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS BY ENGAGING IN MARKET MANIPULATION IN CONNECTION WITH THE TRADING OF THE DEBT SECURITIES OF A PARTICULAR ISSUER FROM 2006 TO 2008. | Final | $10.5M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/160538/brochure
- Similar advisers: https://search.stillhousedata.com/firm/160538/similar
- Related entities: https://search.stillhousedata.com/firm/160538/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/160538

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.