WHALEN FINANCIAL
Latest filing: Mar 12, 2025 (90 days ago)
AUM
$192,271,610
22% change vs. 1 year ago
39% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
4
300% change vs. 1 year ago
33% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
LAS VEGAS, NV
7160 RAFAEL RIVERA WAY, LAS VEGAS, NV, UNITED STATES, 89113
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.2 |
| Non-Discretionary | $0.0 |
| Total | $0.2 |
| Client | AUM |
|---|---|
| Retail | $0.2 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 337 | $0.1 |
| Average Individual AUM | $257,650 | |
| HNW | 58 | $0.1 |
| Average HNW AUM | $1,753,988 | |
| Retail Total | 395 | $0.2 |
| Average Retail AUM | $477,366 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.2 |
| Retail SMA AUM | $0.2 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 37% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 8% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 48% | $0.1 |
| Other Pools | 1% | $0.0 |
| Cash | 6% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
1 active representative found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ANDREW WHALEN | LAS VEGAS | NV | S63|2009-12-16|S65|2011-10-20 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.2 | $0.0 | 0% | 4 | 0 | 0% |
| 2025-04-21 | $0.2 | $0.0 | 0% | 4 | 0 | 0% |
| 2024-04-02 | $0.2 | $0.0 | 22% | 1 | 3 | 300% |
| 2023-04-04 | $0.1 | $0.1 | 66% | 4 | 0 | 0% |
| 2022-04-01 | $0.1 | $0.1 | 39% | 3 | 1 | 33% |
| 2021-04-05 | $0.0 | $0.0 | 0% | 2 | 2 | 100% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NV, AL-10/26/2023, AZ-11/23/2021, CA-01/20/2021, FL-11/23/2021, LA-12/01/2022, NE-11/23/2021, NV-01/04/2021, OR-03/12/2025, PA-03/12/2025, TX-01/20/2021, WA-03/14/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV