DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

SAMUEL J WHALEN

Advisor at STRATEGIC ADVISERS LLC

PITTSBURGH, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:df2aa434-e576-bff1-8444-9ca3e7133eff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 4, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 12, 2019
First registration: Sep 4, 2019
Dual registered: yes, broker-dealer
Other names: SAMUEL WHALEN|SAMUEL JOSEPH WHALEN|Samuel Jospeh Whalen
IAPD individual key: 7116378

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	PITTSBURGH, PA\|PITTSBURGH, PA	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Feb 24, 2025	Mar 31, 2025	no	PITTSBURGH, PA\|PITTSBURGH, PA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 22, 2021	Oct 21, 2024	no	Virginia Beach, VA\|Glen Allen, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 4, 2019	Nov 2, 2021	no	COLUMBIA, MD\|BETHESDA, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
CHARLES SCHWAB & CO., INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Oct 21, 2024	Feb 24, 2025	126	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	CHARLES SCHWAB & CO., INC.	Nov 2, 2021	Dec 22, 2021	50	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Feb 24, 2025 to Mar 31, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 22, 2021 to Oct 21, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 4, 2019 to Nov 2, 2021factForm ADV

Dated events

Occurred
Oct 21, 2024
Advisor changed firm
Samuel J Whalen left Charles Schwab & Co., Inc. for Fidelity Personal And Workplace Advisors (registered 2025-02-24)
Form ADVobserved 3 days ago