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WHALEN CAPITAL, INC.

WAUSAU, WI · CRD 130016 · IAPD ↗ · whalenfg.com · 715-241-6935

$75.1MRegulatory AUM
2Advisory reps
4Employees
0Clients
1-10Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
July 2026 — WHALEN CAPITAL, INC. (WAUSAU, WI) left the SEC roster (was $75.1M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
April 2026 — WHALEN CAPITAL, INC. reported RAUM down 51% ($152.4M -> $75.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
95
April 2024 — WHALEN CAPITAL, INC. (WAUSAU, WI) is newly SEC-registered with $132.6M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.