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.
Advisor moves
Departures from Whalen Capital, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Kerry Richard Whalen | Whalen Capital, Inc. independent RIA | Steele Capital Management, Inc. other | Other | Jun 1, 2026 | Mar 3, 2004 |
| Jake Whalen | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Apr 24, 2024 |
| Jared William Elijah Kiepke | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 1, 2026 | Oct 2, 2025 |
| Virginia Renee Vanderwaal | Whalen Capital, Inc. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2026 | Oct 2, 2025 |
| Patrick Thomas Bradley | Whalen Capital, Inc. independent RIA | Myfamilycfo, Inc. state registered | RIA to a state-registered adviser | Apr 26, 2018 | Jan 1, 2026 (2807 d) |
| Christopher Lee Fredrick | Whalen Capital, Inc. independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Dec 4, 2013 | Apr 15, 2015 (497 d) |
| Gregory George Brown | Whalen Capital, Inc. independent RIA | Equity Design Advisors, LLC unclassified | Other | Feb 17, 2011 | Sep 2, 2009 |
Page 1 of 1
7 moves match.