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WHALEN FINANCIAL
Legal name: WHALEN WEALTH MANAGEMENT INC.
CRD 311869File 801-120102
APPROVED
Retail clients
Filing as of May 7, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$223.0M
Below cohort median (national)
Discretionary AUM
$223.0M
Clients
400
825 accounts
Employees
10
Below cohort median in NV
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jan 4, 2021
- Principal office
- 7160 RAFAEL RIVERA WAY, SUITE 220, LAS VEGAS, NV, 89113
- Phone
- 702-878-3900
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $223.0M
- Discretionary AUM
- $223.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 825
- Non-discretionary accounts
- 0
- Total accounts
- 825
- AUM per client
- $557K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 7 | $1.8M |
| Charitable organizations | Fewer than 5 | $565K |
| High net worth individuals | 69 | $133.1M |
| Individuals (other than high net worth individuals) | 322 | $87.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 408 | 400 | decreased by8 |
| Apr 1, 2026 | AUM | $192,271,610 | $222,958,975 | increased by$30,687,365 |
| Apr 1, 2026 | Accounts | 834 | 825 | decreased by9 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 4 | 10 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3 | 4 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 391 | 408 | increased by17 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $137,842,282 | $192,271,610 | increased by$54,429,328 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 591 | 834 | increased by243 |
| Apr 1, 2022 | AUM | $137,842,281 | $137,842,282 | increased by$1 |
| Apr 1, 2022 | Accounts | 589 | 591 | increased by2 |
| Feb 1, 2022 | Clients | 342 | 391 | increased by49 |
| Feb 1, 2022 | AUM | $107,102,000 | $137,842,281 | increased by$30,740,281 |
| Feb 1, 2022 | Accounts | 570 | 589 | increased by19 |
| Jun 1, 2021 | Registration | APPROVED-120 | APPROVED | |
| Jun 1, 2021 | Employees | 2 | 3 | increased by1 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WHALEN FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WHALEN FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.