{"url":"https://nivawealth.com/firms/whitwell-and-co-331958","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/331958","regulatoryAum":116800554,"crd":"331958","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8155882","suffix":null,"lastName":"Dibble","firstName":"Tracy","middleName":"Lee"},{"crd":"4356082","suffix":null,"lastName":"DODDS","firstName":"ERIK","middleName":"ROBERT"},{"crd":"2530761","suffix":null,"lastName":"PERRY","firstName":"MARY SUSAN","middleName":"BROCKINGTON"},{"crd":"1959083","suffix":null,"lastName":"REIFERSON","firstName":"PAUL","middleName":"JAY"},{"crd":"2794913","suffix":null,"lastName":"WHITWELL","firstName":"STEFAN","middleName":null},{"crd":"1728693","suffix":null,"lastName":"WRIGHT","firstName":"ROSEMARY","middleName":"SOTO"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-05-26","regulatoryAum":112624132,"clients":319,"employees":8,"offices":7},{"filedOn":"2026-07-06","regulatoryAum":116800554,"clients":337,"employees":9,"offices":6}],"secFileNumber":"801-131151","legalName":"Whitwell & Co, LLC","displayName":"Whitwell & Co","slug":"whitwell-and-co-331958","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/whitwell-advisors","xUrl":"https://twitter.com/Whitwell247","founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"5 November 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":321166.2756410256,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":116800554,"discretionary":116800554,"discretionaryAccounts":489,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":256,"regulatoryAum":48249072},{"label":"High-net-worth individuals","clients":56,"regulatoryAum":51954806},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":3932275},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":9245750},{"label":"Corporations and other businesses","clients":17,"regulatoryAum":3418651}],"feePrograms":[{"role":"other","program":"Hourly advisory services","summary":"Hourly advisory services are offered in addition to asset-based fees, at hourly rates of $500 to $1,000 as agreed with the client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048852","versionId":1048852,"submittedOn":"2026-06-18","documentName":"WHITWELL & CO. - ADV 2A BROCHURE 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:47:27.304786+00:00","documents":[{"name":"WHITWELL & CO. - ADV 2A BROCHURE 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048852","versionId":1048852,"submittedOn":"2026-06-18"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":87870424}],"custodyNote":"Whitwell & Co does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stefan Whitwell","title":"Chief Executive Officer","crd":"2794913"},{"name":"Andrew Lucich","title":"Chief Compliance Officer","crd":"2227654"}],"ownership":[{"label":"0123581321 Trust","detail":"Owner in the 75% or more ownership band and a control person, since August 2011."},{"label":"Floriano Whitwell","detail":"Indirect owner: trustee of 0123581321 trust of 0123581321 Trust and a control person, since August 2011.","parent":"0123581321 Trust"},{"label":"Stefan Whitwell","detail":"Indirect owner: a indirect owner of 0123581321 Trust in the 75% or more band and a control person, since August 2011.","parent":"0123581321 Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":5},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"512-766-7775","stateRegisteredReps":6,"otherAdviserReps":1,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":5},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":52},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":12},{"label":"Cash and cash equivalents","percent":23},{"label":"Other","percent":1,"detail":"Reits (Some Exchange Traded, Some Closed End), Govt Sponsored Or Owned Mortgage Backed Securities That Are Not Reits."}],"privateFunds":0},"sources":{"adv1FilingDate":"6 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/331958/PDF/331958.pdf","brochureDate":"18 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048852","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Whitwell & Co have?","answer":"Whitwell & Co has 337 clients and manages $117 million for them, as of July 2026. They include 256 individual clients, 56 high-net-worth individuals, and 17 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Whitwell & Co offer?","answer":"Whitwell & Co provides financial planning, portfolio management for individuals and small businesses, pension consulting, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Whitwell & Co use?","answer":"Whitwell & Co’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $87.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Whitwell & Co have?","answer":"Whitwell & Co has 6 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Whitwell & Co invest in?","answer":"At the end of its last fiscal year, Whitwell & Co’s separately managed accounts held 52% registered funds (mutual funds, ETFs, BDCs), 23% cash and equivalents, 12% pooled vehicles (private funds and similar), 5% exchange-traded equities, 5% U.S. government and agency bonds, 1% investment grade corporate bonds, 1% derivatives and 1% other. The 1% other category is described as: Reits (Some Exchange Traded, Some Closed End), Govt Sponsored Or Owned Mortgage Backed Securities That Are Not Reits.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Whitwell & Co?","answer":"Whitwell & Co is owned through a trust by Stefan Whitwell. Its direct owner is 0123581321 Trust (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Whitwell & Co get paid?","answer":"Whitwell & Co is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Whitwell & Co?","answer":"Its phone number is 512-766-7775.","source":"Form ADV Part 1A, Item 1.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}