Hedge Fund Database

WHALEN FINANCIAL

WHALEN WEALTH MANAGEMENT INC. Legal Name

Adviser information for WHALEN FINANCIAL last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Nevada, United States

Employees

Total Number of Employees 1
Investment Advisory/Research 1
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 1
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 806 $157.9M
Non-Discretionary 0 $0
Total 806 $157.9M

Clients

Type Number RAUM
Individuals 335 $78.6M
HNW Individuals 40 $75.5M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $1.7M
Charitable organizations <5 $47,383
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 10 $2.0M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-120102
SEC ERA File Number 801-120102
SEC CIK Numbers 1894447
SEC CRD Numbers 311869
Legal Entity Identifier None

Principal Office

7160 RAFAEL RIVERA WAY
SUITE 220
LAS VEGAS
NV
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 702-878-3900, Fax: 702-878-7200

Websites

www.linkedin.com/whalenfinancial www.facebook.com/whalenfinancial twitter.com/whalenfinancial www.youtube.com/channel/uc7pw57q6m1eajuanlo9g_8g www.whalenfinancial.com

Chief Compliance Officer

ANDREW JOSEPH WHALEN
PRESIDENT & CHIEF COMPLIANCE OFFICER
7160 RAFAEL RIVERA WAY
SUITE 220
LAS VEGAS
NV
United States
Tel: (702) 878-3900
Fax: (702) 878-7200
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
WHALEN, ANDREW, JOSEPH Individual – PRESIDENT & CHIEF COMPLIANCE OFFICER 11/2020 > 75%

No. Employees, Historic

10502020202120222023202420252 on 12/4/20202 on 12/22/20202 on 1/14/20212 on 1/15/20212 on 1/20/20213 on 5/4/20214 on 7/1/20213 on 7/13/20213 on 11/23/20213 on 12/23/20213 on 1/14/20223 on 1/26/20223 on 1/27/20223 on 2/16/20223 on 3/4/20223 on 3/18/20223 on 3/31/20223 on 12/1/20224 on 3/29/20233 on 4/19/20233 on 7/18/20233 on 7/19/20232 on 9/22/20232 on 10/17/20232 on 10/26/20232 on 3/14/20242 on 3/19/20241 on 3/27/2024

RAUM, Historic

200M100M02020202120222023202420250 on 12/4/20200 on 12/22/20200 on 1/14/20210 on 1/15/20210 on 1/20/2021107102000 on 5/4/2021107102000 on 7/1/2021107102000 on 7/13/2021107102000 on 11/23/2021107102000 on 12/23/2021137842281 on 1/14/2022137842281 on 1/26/2022137842281 on 1/27/2022137842281 on 2/16/2022137842281 on 3/4/2022137842282 on 3/18/2022137842282 on 3/31/2022137842282 on 12/1/2022115954523 on 3/29/2023115954523 on 4/19/2023115954523 on 7/18/2023115954523 on 7/19/2023115954523 on 9/22/2023115954523 on 10/17/2023115954523 on 10/26/2023115954523 on 3/14/2024157855321 on 3/19/2024157855321 on 3/27/2024

No. Clients, Historic

50025002020202120222023202420250 on 12/4/20200 on 12/22/20200 on 1/14/20210 on 1/15/20210 on 1/20/2021342 on 5/4/2021342 on 7/1/2021342 on 7/13/2021342 on 11/23/2021342 on 12/23/2021391 on 1/14/2022391 on 1/26/2022391 on 1/27/2022391 on 2/16/2022391 on 3/4/2022391 on 3/18/2022391 on 3/31/2022391 on 12/1/2022402 on 3/29/2023402 on 4/19/2023402 on 7/18/2023402 on 7/19/2023402 on 9/22/2023402 on 10/17/2023402 on 10/26/2023402 on 3/14/2024390 on 3/19/2024390 on 3/27/2024

Holdings

From latest 13F, filed August 1st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 317K 2K –
ADOBE INC COM 654K 1K –
ADVANCED MICRO DEVICES INC COM 633K 4K –
AECOM COM 845K 10K –
ALEXANDRIA REAL ESTATE EQ IN COM 704K 6K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 451K 6K –
ALPHABET INC CAP STK CL C 2M 10K –
ALPHABET INC CAP STK CL A 206K 1K –
ALPS ETF TR ALERIAN MLP 1M 23K –
AMAZON COM INC COM 4M 20K –
AMGEN INC COM 702K 2K –
AMKOR TECHNOLOGY INC COM 583K 15K –
APPLE INC COM 5M 22K –
AXON ENTERPRISE INC COM 606K 2K –
BECTON DICKINSON & CO COM 695K 3K –
BERRY GLOBAL GROUP INC COM 418K 7K –
BLACKSTONE INC COM 472K 4K –
BLUE BIRD CORP COM 245K 5K –
BUILDERS FIRSTSOURCE INC COM 636K 5K –
CAMBRIA ETF TR EMRG SHAREHLDR 3M 81K –
CARNIVAL CORP UNIT 99/99/9999 225K 12K –
CELSIUS HLDGS INC COM NEW 268K 5K –
CENTENE CORP DEL COM 229K 3K –
CHENIERE ENERGY INC COM NEW 219K 1K –
CIENA CORP COM NEW 215K 4K –
COCA COLA CO COM 244K 4K –
COHERENT CORP COM 703K 10K –
COSTCO WHSL CORP NEW COM 687K 809 –
DELL TECHNOLOGIES INC CL C 736K 5K –
DIMENSIONAL ETF TRUST US TARGETED VLU 289K 6K –
DIMENSIONAL ETF TRUST US EQUITY ETF 279K 5K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 268K 7K –
ELEVANCE HEALTH INC COM 577K 1K –
ELI LILLY & CO COM 1M 1K –
EQT CORP COM 419K 11K –
FIRST SOLAR INC COM 367K 2K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 212K 4K –
FLUENCE ENERGY INC COM CL A 227K 13K –
GILEAD SCIENCES INC COM 306K 4K –
GLOBAL X FDS GLBL X MLP ETF 2M 49K –
GLOBAL X FDS US INFR DEV ETF 228K 6K –
GREEN BRICK PARTNERS INC COM 462K 8K –
INVESCO EXCH TRADED FD TR II SHORT TERM TREAS 518K 5K –
INVITATION HOMES INC COM 472K 13K –
ISHARES BITCOIN TR SHS 296K 9K –
ISHARES TR 0-5YR INVT GR CP 3M 56K –
ISHARES TR SHORT TREAS BD 5M 44K –
ISHARES TR 0-5YR HI YL CP 6M 142K –
ISHARES TR TIPS BD ETF 240K 2K –
ISHARES TR 1 3 YR TREAS BD 28M 339K –
ISHARES TR 0-3 MNTH TREASRY 272K 3K –
ISHARES TR RUSSELL 2000 ETF 2M 9K –
ISHARES TR GLOB HLTHCRE ETF 238K 3K –
ISHARES TR 3 7 YR TREAS BD 1M 10K –
ISHARES TR IBONDS 29 TRM TS 4M 186K –
ISHARES TR IBONDS 25 TRM TS 335K 14K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 37K –
JANUS DETROIT STR TR HENDRSON AAA CL 2M 46K –
JOHNSON & JOHNSON COM 398K 3K –
JPMORGAN CHASE & CO. COM 813K 4K –
KINDER MORGAN INC DEL COM 797K 40K –
LUMENTUM HLDGS INC COM 484K 10K –
MARVELL TECHNOLOGY INC COM 680K 10K –
META PLATFORMS INC CL A 3M 6K –
MICRON TECHNOLOGY INC COM 423K 3K –
MICROSOFT CORP COM 3M 7K –
NETFLIX INC COM 1M 2K –
NOVO-NORDISK A S ADR 1M 9K –
NUTANIX INC CL A 380K 7K –
NVIDIA CORPORATION COM 5M 37K –
ORACLE CORP COM 822K 6K –
PALO ALTO NETWORKS INC COM 826K 2K –
PFIZER INC COM 291K 10K –
PHILIP MORRIS INTL INC COM 328K 3K –
PROLOGIS INC. COM 410K 4K –
PURE STORAGE INC CL A 552K 9K –
RAMBUS INC DEL COM 396K 7K –
ROCKET COS INC COM CL A 404K 29K –
SELECT SECTOR SPDR TR TECHNOLOGY 642K 3K –
SELECT SECTOR SPDR TR COMMUNICATION 369K 4K –
SELECT SECTOR SPDR TR SBI MATERIALS 2M 25K –
SELECT SECTOR SPDR TR SBI CONS DISCR 238K 1K –
SELECT SECTOR SPDR TR FINANCIAL 233K 6K –
SENTINELONE INC CL A 273K 13K –
SKYWATER TECHNOLOGY INC COM 258K 34K –
SNOWFLAKE INC CL A 568K 4K –
SPDR S&P 500 ETF TR TR UNIT 467K 858 –
SPDR SER TR BLOOMBERG 3-12 M 250K 3K –
SPDR SER TR S&P BIOTECH 2M 21K –
SPROTT FDS TR URANIUM MINERS E 687K 14K –
STARWOOD PPTY TR INC COM 284K 15K –
TESLA INC COM 736K 4K –
TETRA TECH INC NEW COM 515K 3K –
TEXTRON INC COM 306K 4K –
UBER TECHNOLOGIES INC COM 619K 9K –
UNITEDHEALTH GROUP INC COM 699K 1K –
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 2M 31K –
VANGUARD WORLD FD UTILITIES ETF 1M 7K –
VERIZON COMMUNICATIONS INC COM 463K 11K –
WISDOMTREE TR FLOATNG RAT TREA 1M 25K –
ZSCALER INC COM 474K 2K –