M.A. WHELAN FINANCIAL PLANNING
MAUREEN A. WHELAN Legal Name
Adviser information for M.A. WHELAN FINANCIAL PLANNING last updated from Form ADV on February 16th, 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 110 | $43.5M |
| Non-Discretionary | 0 | $0 |
| Total | 110 | $43.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $5.8M |
| HNW Individuals | 22 | $37.7M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-122165 |
|---|---|
| SEC ERA File Number | 801-122165 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140357 |
| Legal Entity Identifier | None |
Principal Office
2127 CROMPOND ROADSUITE 104C
CORTLANDT MANOR
NY
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 800-775-8564, Fax: 800-775-8564
Chief Compliance Officer
MAUREEN WHELAN
OWNER
2127 CROMPOND ROAD
SUITE 104C
CORTLANDT MANOR
NY
United States
Tel:
800-775-8564
Fax:
800-775-8564
M******@********************M
(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 |
|---|---|---|---|---|---|
| WHELAN, MAUREEN, ANN | Individual | – | OWNER/ CHIEF COMPLIANCE OFFICER | 04/2006 | > 75% |