Whalen Wealth Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Whalen Wealth Management reports 400 clients. They include 322 individual clients, 69 high-net-worth individuals, and 7 corporations and other businesses. Of its assets, 100.0% ($223M across 825 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 81% | 39% |
| High-net-worth individuals | 17% | 60% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 2% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 322 | $87.5M | 39.3% | $272K |
| High-net-worth individuals | 69 | $133M | 59.7% | $1.93M |
| Charitable organizations | Fewer than 5 | $565K | 0.3% | $283K |
| Corporations and other businesses | 7 | $1.76M | 0.8% | $252K |
| Total | 400 | $223M | 100% | — |
- Clients
- 322
- Regulatory AUM
- $87.5M
- AUM share
- 39.3%
- Avg. per client
- $272K
- Clients
- 69
- Regulatory AUM
- $133M
- AUM share
- 59.7%
- Avg. per client
- $1.93M
- Clients
- Fewer than 5
- Regulatory AUM
- $565K
- AUM share
- 0.3%
- Avg. per client
- $283K
- Clients
- 7
- Regulatory AUM
- $1.76M
- AUM share
- 0.8%
- Avg. per client
- $252K
Total
- Clients
- 400
- Regulatory AUM
- $223M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Whalen Wealth Management charges 0.35%–1.20% a year for its Portfolio Management Fees. The fee is billed in arrears. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial plans are a fixed fee of $3,300, plus an annual $550 fee due at the annual scheduled meeting.
Andrew Whalen owns 75% or more of Whalen Wealth Management. The leadership team of Whalen Wealth Management includes President Andrew Whalen. It has 10 employees, 4 of them in advisory roles.
Staff
- 10 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- Owns 75% or more of Whalen Wealth Management Inc.
Andrew Whalen
Control person · since November 2020
Whalen Wealth Management’s regulatory assets grew 2.1× from $107M (July 2021) to $223M (May 2026); clients rose from 342 to 400 and employees from 3 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $223M | 400 | 10 | 1 |
| Jul 2025July 2025 | $192M | 408 | 6 | 1 |
| Jul 2024July 2024 | $158M | 390 | 2 | 1 |
| Jul 2023July 2023 | $116M | 402 | 3 | 1 |
| Mar 2022March 2022 | $138M | 391 | 3 | 1 |
| Jul 2021July 2021 | $107M | 342 | 3 | 1 |
Besides its headquarters, Whalen Wealth Management has 0 offices, with 1 listed address in 1 state.
Nevada · 1 listed address
- 7160 Rafael Rivera Way, Suite 220, Las VegasHQ
Contact and registration details
- Legal name
- Whalen Wealth Management Inc.
- Headquarters
- 7160 Rafael Rivera Way, Suite 220, Las Vegas, NV 89113
- Website
- whalenfinancial.com
- Phone
- 702-878-3900
- SEC file
- 801-120102
- Structure
- Nevada corporation
- Fiscal year end
- December
Whalen Wealth Management’s named custodians for separately managed accounts are Charles Schwab ($209M, 94%) and Altruist ($14.2M, 6%). Whalen Wealth Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $209M94%
- AltruistAltruist Financial LLC · Culver City, CA · $14.2M6%
At year end, Whalen Wealth Management’s separately managed accounts were mostly in stocks (60%) and funds (32%). Its reported 13F holdings for the quarter ended 30 June 2026 total $222M across 195 positions; the largest are Nvidia Corporation (3.9%), iShares TR (3.9%) and iShares TR (3.5%).
What the accounts hold
- Stocks60%
- Funds32%
- Bonds4%
- Cash4%
How many clients does Whalen Wealth Management have?
Whalen Wealth Management has 400 clients and manages $223 million for them, as of May 2026. They include 322 individual clients, 69 high-net-worth individuals, and 7 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 7 May 2026
What services does Whalen Wealth Management offer?
Whalen Wealth Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Whalen Wealth Management charge?
Whalen Wealth Management charges 0.35%–1.20% a year for its Portfolio Management Fees. The fee is billed in arrears.
Source: ADV PART 2A- WHALEN WEALTH MANAGEMENT INC. DBA WHALEN FINANCIAL, filed 9 March 2026
Which custodians does Whalen Wealth Management use?
Whalen Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $209M and Altruist Financial LLC (Culver City, CA), with $14.2M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 May 2026
How many financial advisors does Whalen Wealth Management have?
Whalen Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 10 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Whalen Wealth Management invest in?
At the end of its last fiscal year, Whalen Wealth Management’s separately managed accounts held 60% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs), 4% U.S. government and agency bonds and 4% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Whalen Wealth Management?
Whalen Wealth Management’s direct owner is Andrew Whalen (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 7 May 2026
How does Whalen Wealth Management get paid?
Whalen Wealth Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Whalen Wealth Management?
Whalen Wealth Management’s main office is at 7160 Rafael Rivera Way, Suite 220, Las Vegas, NV 89113. Its phone number is 702-878-3900. Its website is whalenfinancial.com.
