Hedge Fund Database

WHELAN FINANCIAL

Adviser information for WHELAN FINANCIAL last updated from Form ADV on March 26th, 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 California, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
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 1,373 $568.8M
Non-Discretionary 0 $0
Total 1,373 $568.8M

Clients

Type Number RAUM
Individuals 231 $86.6M
HNW Individuals 156 $365.4M
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 35 $106.1M
Charitable organizations <5 $9.8M
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 <5 $873,781
Other 0 $0
Type Number
No. of Non-RAUM Clients 24
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-40071
SEC ERA File Number 801-40071
SEC CIK Numbers 1894921
SEC CRD Numbers 107227
Legal Entity Identifier None

Principal Office

7700 NORTH PALM AVE. #201
FRESNO
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 559-228-8002, Fax: 559-228-8028

Websites

www.whelanfinancial.com www.facebook.com/whelanfinancial/ www.linkedin.com/company/whelan-financial/ www.youtube.com/channel/ucrvywx4xqthjr01dgbyrrpa/videos

Chief Compliance Officer

MICHAEL JAMES RYAN, V
INVESTMENT ADVISOR REPRESENTATIVE
7700 NORTH PALM AVE. #201
FRESNO
CA
United States
Tel: 559-228-8002
Fax: 559-228-8028
(Full email address available in API data)

Regulatory Contact

PORTIA L. WHITE
CEO, VICE PRESIDENT, SENIOR ADVISOR
7700 NORTH PALM AVE., #201
FRESNO
CA
United States
Tel: 559-228-8002
Fax: 559-228-8028
(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, VINCENT, JOSEPH Individual – PRESIDENT 03/2013 > 75%
WHITE, PORTIA, LISSI Individual – CHIEF EXECUTIVE OFFICER AND PARTNER 03/2013 10-25%
WHELAN, TAYLOR, JOHN Individual – CHIEF FINANCIAL OFFICER 12/2014 5-10%
RYAN, MICHAEL, JAMES Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%

No. Employees, Historic

20100201920202021202220232024202512 on 10/23/201910 on 3/5/202010 on 6/26/20209 on 3/26/20218 on 3/15/20228 on 3/15/20228 on 3/15/20238 on 3/15/20248 on 3/26/2024

RAUM, Historic

600M300M02019202020212022202320242025291531600 on 10/23/2019358535710 on 3/5/2020358535710 on 6/26/2020404381418 on 3/26/2021484147491 on 3/15/2022484147491 on 3/15/2022453138645 on 3/15/2023568753932 on 3/15/2024568753932 on 3/26/2024

No. Clients, Historic

50025002019202020212022202320242025267 on 10/23/2019270 on 3/5/2020270 on 6/26/2020277 on 3/26/2021327 on 3/15/2022327 on 3/15/2022382 on 3/15/2023427 on 3/15/2024427 on 3/26/2024

Holdings

From latest 13F, filed July 29th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 607K 3K 0
ALPHABET INC CAP STK CL C 561K 3K 0
AMAZON COM INC COM 1M 7K 0
APPLE INC COM 4M 21K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 499K 1K 0
BROADCOM INC COM 445K 277 0
CHEVRON CORP NEW COM 506K 3K 0
COSTCO WHSL CORP NEW COM 624K 734 0
ELI LILLY & CO COM 363K 401 0
EXXON MOBIL CORP COM 283K 2K 0
HEARTLAND FINL USA INC COM 413K 9K 0
INTERNATIONAL BUSINESS MACHS COM 217K 1K 0
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 47M 236K 0
INVESCO QQQ TR UNIT SER 1 547K 1K 0
ISHARES TR GLOBAL 100 ETF 4M 43K 0
ISHARES TR RUS TP200 GR ETF 2M 7K 0
ISHARES TR CORE DIV GRWTH 490K 9K 0
ISHARES TR MSCI GBL SUS DEV 251K 3K 0
JPMORGAN CHASE & CO. COM 647K 3K 0
LOWES COS INC COM 2M 7K 0
META PLATFORMS INC CL A 1M 2K 0
MICROSOFT CORP COM 2M 4K 0
NVIDIA CORPORATION COM 2M 15K 0
PROCTER AND GAMBLE CO COM 424K 3K 0
SCHWAB STRATEGIC TR US SML CAP ETF 2M 38K 0
SCHWAB STRATEGIC TR US REIT ETF 416K 21K 0
SCHWAB STRATEGIC TR US MID-CAP ETF 731K 9K 0
SCHWAB STRATEGIC TR US AGGREGATE B 261K 6K 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 42M 538K 0
SENSEONICS HLDGS INC COM 19K 48K 0
TESLA INC COM 232K 1K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 14M 192K 0
VANGUARD INDEX FDS MID CAP ETF 12M 48K 0
VANGUARD INDEX FDS REAL ESTATE ETF 21M 251K 0
VANGUARD INDEX FDS SMALL CP ETF 29M 131K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 415K 830 0
VANGUARD INDEX FDS TOTAL STK MKT 2M 7K 0
VANGUARD SCOTTSDALE FDS INTER TERM TREAS 14M 243K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 16M 203K 0
WALMART INC COM 275K 4K 0