DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Sean David Whalen

Strategic Wealth Management LLCstate registeredSouth Natick, Madual registrantIAPD 4000934

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Sep 9, 2025

In the industry

27 y

since Sep 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Strategic Wealth Management LLC state registered current
since Sep 9, 2025 · South Natick, Ma
Concorde Asset Management, LLC BD affiliated
Aug 19, 2025 to Sep 26, 2025 · S. Natick, Ma
Asset Strategy Advisors, LLC mixed wealth
Feb 12, 2018 to Jul 25, 2025 · Wayland, Ma
Radius Capital Management, LLC unclassified
Aug 5, 2017 to Feb 14, 2018 · Boston, Ma
Santander Securities BD affiliated
Sep 26, 2012 to Jun 28, 2017 · Boston, Ma
LPL Financial LLC BD affiliated
Jun 23, 2011 to Sep 19, 2012 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Concorde Asset Management, LLC to Strategic Wealth Management LLC
left Sep 26, 2025, registered Sep 9, 2025 (-17 days) · Affiliated broker-dealer or bank to a state-registered adviser
Asset Strategy Advisors, LLC to Concorde Asset Management, LLC
left Jul 25, 2025, registered Aug 19, 2025 (25 days) · RIA to affiliated broker-dealer or bank
Radius Capital Management, LLC to Asset Strategy Advisors, LLC
left Feb 14, 2018, registered Feb 12, 2018 (-2 days) · Other
Santander Securities to Radius Capital Management, LLC
left Jun 28, 2017, registered Aug 5, 2017 (38 days) · Other
LPL Financial LLC to Santander Securities
left Sep 19, 2012, registered Sep 26, 2012 (7 days) · corporate re-registration, not a move

Signals

Sean David Whalen left Concorde Asset Management, Llc for Strategic Wealth Management Llc (registered 2025-09-09)
Sep 26, 2025 · Advisor changed firm · fact
Sean David Whalen left Asset Strategy Advisors, Llc for Concorde Asset Management, Llc (registered 2025-08-19)
Jul 25, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address