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.

SEC-registered adviser

Whalen Financial

Independent wealth managerLas Vegas, NevadaCRD 311869SEC 801-120102website IAPD

Legal name Whalen Wealth Management Inc.

Latest filing May 7, 2026

First filing on the tape Dec 4, 2020 · 44 filings

SEC status approved since Jan 4, 2021

RAUM

$223M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$221M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$44.6M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

44 filings and snapshots on the tape

RAUM$223M as of May 7, 2026

Mar 18, 2022$138M then

HNW client RAUM$133M as of May 7, 2026

Mar 18, 2022$79.6M then

State-registered IARs (5.B.3)4 as of May 7, 2026

Mar 18, 20223 then

Employees (5.A)10 as of May 7, 2026

Mar 18, 20223 then

Private funds: no history

RAUM +16% over the last fiscal year+24% a year over threeIARs 4 to 4

Practice profile

derived from the filing of May 7, 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: $44.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 78derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $270,253derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 5.0derived1 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: -1.0%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$133M60%
Individuals$87.5M39%
Corporations and businesses$1.8M0.8%
Charitable organizations$565,3860.3%

Individual clients: 322reported
HNW clients: 69reported
Pension plan clients: 0reported
Charitable clients: 2reported
Accounts: 825reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Andrew Joseph Whalen	Las Vegas, Nv	Mar 2, 2021	24 y	4
Luke Perry	Las Vegas, Nv	Feb 18, 2025	26 y	0
Vanessa Medina	Las Vegas, Nv	Jun 8, 2025	11 y	0
Antonio Villanueva Rios	Las Vegas, Nv	Jan 1, 2026	30 y	5
Kim Thanh Dang	Las Vegas, Nv	Jul 8, 2026	12 y	5

Advisor movement

0 left, 2 joined in 12 months

net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months

Left, latest

Di Wu to Wealthcare Capital Management LLC
Mar 27, 2024 · RIA to RIA
Ledawn Gries to Mutual Of Omaha Investor Services, Inc.
Oct 17, 2023 · RIA to RIA
Carl David Aschenbrenner to Fisher Investments
Sep 22, 2023 · RIA to RIA
Kim Thanh Dang to Independent Financial Group, LLC
Apr 19, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

Kim Thanh Dang from Independent Financial Group, LLC
Jul 8, 2026 · Affiliated broker-dealer or bank to independent RIA
Antonio Villanueva Rios from Fidelity Personal And Workplace Advisors
Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
Di Wu from Rfg Advisory, LLC
Oct 26, 2023 · RIA to RIA
Ledawn Gries from Fisher Investments
Mar 6, 2023 · RIA to RIA
Carl David Aschenbrenner from Hcr Wealth Advisors
Apr 9, 2021 · RIA to a newly registered adviser
Kim Thanh Dang from LPL Financial LLC
Mar 2, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Andrew Joseph Whalen from LPL Financial LLC
Mar 2, 2021 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from LPL Financial LLC
Jan 25, 2021 · Henderson, Nv

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Joseph Andrew Whalen · President & Chief Compliance Officercontrol
since 11/2020 · owns 75% or more

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
Las Vegas, Nv · principal	5	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 834 to 825
Jan 5, 2026 to Mar 9, 2026
HNW clients · 58 to 69
Jan 5, 2026 to Mar 9, 2026
Individual clients · 337 to 322
Jan 5, 2026 to Mar 9, 2026
Pension plan clients · 4 to 0
Jan 5, 2026 to Mar 9, 2026
Discretionary RAUM · $192M to $223M
Jan 5, 2026 to Mar 9, 2026
HNW RAUM · $102M to $133M
Jan 5, 2026 to Mar 9, 2026
Individual RAUM · $86.8M to $87.5M
Jan 5, 2026 to Mar 9, 2026
Pension RAUM · $2.1M to $0
Jan 5, 2026 to Mar 9, 2026
RAUM · $192M to $223M
Jan 5, 2026 to Mar 9, 2026
Advisory employees · 5 to 4
Jul 18, 2025 to Oct 22, 2025
BD registered reps · 2 to 0
Jul 18, 2025 to Oct 22, 2025
Employees · 6 to 10
Jul 18, 2025 to Oct 22, 2025
State-registered IARs · 6 to 4
Jul 18, 2025 to Oct 22, 2025
Advisory employees · 4 to 5
Jun 30, 2025 to Jul 18, 2025
Employees · 5 to 6
Jun 30, 2025 to Jul 18, 2025
Financial planning clients · 1-10 to 1-10
Jun 30, 2025 to Jul 18, 2025
State-registered IARs · 5 to 6
Jun 30, 2025 to Jul 18, 2025
Advisory employees · 3 to 4
May 19, 2025 to Jun 30, 2025
Employees · 4 to 5
May 19, 2025 to Jun 30, 2025
State-registered IARs · 4 to 5
May 19, 2025 to Jun 30, 2025
Advisory employees · 2 to 3
Jan 30, 2025 to Feb 24, 2025
Employees · 3 to 4
Jan 30, 2025 to Feb 24, 2025
State-registered IARs · 3 to 4
Jan 30, 2025 to Feb 24, 2025
Accounts · 806 to 834
Nov 21, 2024 to Jan 30, 2025
Advisory employees · 1 to 2
Nov 21, 2024 to Jan 30, 2025
Charity clients · 1 to 2
Nov 21, 2024 to Jan 30, 2025
Corporate clients · 10 to 7
Nov 21, 2024 to Jan 30, 2025
HNW clients · 40 to 58
Nov 21, 2024 to Jan 30, 2025
Individual clients · 335 to 337
Nov 21, 2024 to Jan 30, 2025
Employees · 2 to 3
Nov 21, 2024 to Jan 30, 2025
Financial planning clients · 0 to 1-10
Nov 21, 2024 to Jan 30, 2025
State-registered IARs · 2 to 3
Nov 21, 2024 to Jan 30, 2025
Discretionary RAUM · $158M to $192M
Nov 21, 2024 to Jan 30, 2025
HNW RAUM · $75.5M to $102M
Nov 21, 2024 to Jan 30, 2025
Individual RAUM · $78.6M to $86.8M
Nov 21, 2024 to Jan 30, 2025
Pension RAUM · $1.7M to $2.1M
Nov 21, 2024 to Jan 30, 2025
RAUM · $158M to $192M
Nov 21, 2024 to Jan 30, 2025
Advisory employees · 2 to 1
Jul 18, 2024 to Jul 31, 2024
BD registered reps · 1 to 2
Jul 18, 2024 to Jul 31, 2024
Advisory employees · 1 to 2
Jun 21, 2024 to Jul 18, 2024

Signals

5 dated events

Di Wu left Whalen Financial for Wealthcare Capital Management Llc (registered 2024-06-24)
Mar 27, 2024 · Advisor changed firm · fact
Ledawn Gries left Whalen Financial for Mutual Of Omaha Investor Services, Inc. (registered 2023-12-19)
Oct 17, 2023 · Advisor changed firm · fact
Carl David Aschenbrenner left Whalen Financial for Fisher Investments (registered 2024-03-13)
Sep 22, 2023 · Advisor changed firm · fact
Kim Thanh Dang left Whalen Financial for Independent Financial Group, Llc (registered 2023-05-01)
Apr 19, 2023 · Advisor changed firm · fact
Whalen Financial filed its initial SEC registration (Form ADV)
Dec 4, 2020 · First SEC registration · 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@whalenfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 866-600-3030reportedpublished by the firm, firm site, Sep 16, 2026
Website: whalenfinancial.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 702-878-3900reportedpublic record, Form ADV, May 7, 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: $44.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026