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.
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SEC-registered adviser
W••••• F••••••••
Latest filing Jan 27, 2026
First filing on the tape Mar 12, 2012 · 29 filings
SEC status approved since Oct 28, 1991
RAUM
$782M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$631M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$782M as of Jan 27, 2026
Mar 12, 2012$129M then
HNW client RAUM$556M as of Jan 27, 2026
Mar 29, 2018$176M then
State-registered IARs (5.B.3)7 as of Jan 27, 2026
Mar 12, 20120 then
Employees (5.A)9 as of Jan 27, 2026
Mar 15, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 7 to 7offices 0 to 1
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $455,035derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $393M, 350 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$556M71%
- Pension and profit-sharing plans$137M18%
- Individuals$75.1M9.6%
- Charitable organizations$11.9M1.5%
- Corporations and businesses$1.3M0.2%
- Individual clients
- 248reported
- HNW clients
- 222reported
- Pension plan clients
- 37reported
- Charitable clients
- 2reported
- Accounts
- 1,718reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $393M for 350 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• L•••• W••••Certified Financial Planner | Fresno, Ca | Jun 12, 2006 | 21 y | 0 |
| V•••••• J••••• W•••••Certified Financial Planner | Fresno, Ca | May 24, 2012 | 34 y | 0 |
| M•••••• D•••• M••••••••Certified Financial Planner | Fresno, Ca | Feb 19, 2021 | 13 y | 1 |
| M•••••• J•••• R•••Certified Financial Planner | Fresno, Ca | May 12, 2021 | 14 y | 1 |
| L••• N••••• O••Certified Financial Planner | Fresno, Ca | May 27, 2021 | 16 y | 0 |
| S•••••• C••••••••• D••••••••Certified Financial Planner | Fresno, Ca | Jan 9, 2025 | 16 y | 0 |
| T••••• J••• W•••••Certified Financial Planner, Chartered Financial Analyst | Fresno, Ca | Jan 15, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••• A•••••• B•••••••• to H••••• F•••••••• A•••••••• I•••Aug 8, 2012 · Other
Joined, latest
- M•••••• J•••• R••• from S••••• A•••• M•••••••••May 12, 2021 · RIA to RIA
- M•••••• D•••• M•••••••• from B••• W••••• M••••••••• L••Feb 19, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• T•••••• J••• · Chief Financial Officercontrolsince 12/2014 · owns 5% to 10%
- W•••••• V••••••• J••••• · Presidentcontrolsince 03/2013 · owns 75% or more
- W••••• P•••••• L•••• · Chief Executive Officer And Partnercontrolsince 03/2013 · owns 10% to 25%
- R•••• M••••••• J•••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fresno, Ca · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,581 to 1,718Jul 24, 2025 to Jan 27, 2026
- HNW clients · 176 to 222Jul 24, 2025 to Jan 27, 2026
- Individual clients · 271 to 248Jul 24, 2025 to Jan 27, 2026
- Pension plan clients · 35 to 37Jul 24, 2025 to Jan 27, 2026
- Assets in custody · $321M to $393MJul 24, 2025 to Jan 27, 2026
- Employees · 8 to 9Jul 24, 2025 to Jan 27, 2026
- Discretionary RAUM · $675M to $782MJul 24, 2025 to Jan 27, 2026
- HNW RAUM · $441M to $556MJul 24, 2025 to Jan 27, 2026
- Individual RAUM · $98.2M to $75.1MJul 24, 2025 to Jan 27, 2026
- Pension RAUM · $125M to $137MJul 24, 2025 to Jan 27, 2026
- RAUM · $675M to $782MJul 24, 2025 to Jan 27, 2026
- Financial planning clients · 251-500 to 251-500Mar 26, 2025 to Jul 24, 2025
- Other offices · 0 to 1Mar 26, 2025 to Jul 24, 2025
- Accounts · 1,373 to 1,581Feb 25, 2025 to Mar 26, 2025
- HNW clients · 156 to 176Feb 25, 2025 to Mar 26, 2025
- Individual clients · 231 to 271Feb 25, 2025 to Mar 26, 2025
- Assets in custody · $261M to $321MFeb 25, 2025 to Mar 26, 2025
- Discretionary RAUM · $569M to $675MFeb 25, 2025 to Mar 26, 2025
- HNW RAUM · $365M to $441MFeb 25, 2025 to Mar 26, 2025
- Individual RAUM · $86.6M to $98.2MFeb 25, 2025 to Mar 26, 2025
- Pension RAUM · $106M to $125MFeb 25, 2025 to Mar 26, 2025
- RAUM · $569M to $675MFeb 25, 2025 to Mar 26, 2025
- Accounts · 1,193 to 1,373Mar 15, 2023 to Mar 15, 2024
- Corporate clients · 4 to 3Mar 15, 2023 to Mar 15, 2024
- HNW clients · 149 to 156Mar 15, 2023 to Mar 15, 2024
- Individual clients · 189 to 231Mar 15, 2023 to Mar 15, 2024
- Pension plan clients · 38 to 35Mar 15, 2023 to Mar 15, 2024
- Assets in custody · $179M to $261MMar 15, 2023 to Mar 15, 2024
- Custody of client assets · false to trueMar 15, 2023 to Mar 15, 2024
- Discretionary RAUM · $453M to $569MMar 15, 2023 to Mar 15, 2024
- HNW RAUM · $284M to $365MMar 15, 2023 to Mar 15, 2024
- Individual RAUM · $49.3M to $86.6MMar 15, 2023 to Mar 15, 2024
- Pension RAUM · $109M to $106MMar 15, 2023 to Mar 15, 2024
- RAUM · $453M to $569MMar 15, 2023 to Mar 15, 2024
- Accounts · 979 to 1,193Mar 15, 2022 to Mar 15, 2023
- Charity clients · 1 to 2Mar 15, 2022 to Mar 15, 2023
- Corporate clients · 1 to 4Mar 15, 2022 to Mar 15, 2023
- HNW clients · 137 to 149Mar 15, 2022 to Mar 15, 2023
- Individual clients · 158 to 189Mar 15, 2022 to Mar 15, 2023
- Pension plan clients · 30 to 38Mar 15, 2022 to Mar 15, 2023
Signals
2 dated events
- W••••• F•••••••• reported RAUM $568.8M, up 26% from $453.1M (2023-03-15 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- W••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 25, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@whelanfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 559-228-8002reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 559-228-8028reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/W•••••-FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 559-228-8002reportedpublic record, Form ADV, Jan 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026