WHALEN CAPITAL, INC.
Adviser information for WHALEN CAPITAL, INC. last updated from Form ADV on February 1st, 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 390 | $132.6M |
| Non-Discretionary | 0 | $0 |
| Total | 390 | $132.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 343 | $77.2M |
| HNW Individuals | 44 | $54.8M |
| 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 | 1 | $547,445 |
| 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 | 2 | $54,183 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 12 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-129615 |
|---|---|
| SEC ERA File Number | 801-129615 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130016 |
| Legal Entity Identifier | None |
Principal Office
226411 RIB MOUNTAIN RDWAUSAU
WI
United States
M - TH 8 - 4; FR 8 - 12, M - TH 8 - 4; FR 8 - 12
Tel: 715-241-6935, Fax: 715-241-6835
Websites
Chief Compliance Officer
KERRY WHALEN
PRESIDENT
226411 RIB MOUNTAIN RD
WAUSAU
WI
United States
Tel:
715-241-6935
Fax:
715-241-6835
K****@***********M
(Full email address available in API data)
Industry Affiliates
| CORPORATE RETIREMENT SOLUTIONS LLC | Pension consultant |
| ON INVESTMENT MANAGEMENT CO | Other investment adviser, including financial planners |
| THE O.N. EQUITY SALES COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WHALEN FINANCIAL GROUP, INC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WHALEN, KERRY, RICHARD | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 04/2013 | > 75% |