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WHALEN FINANCIAL

LAS VEGAS, NV · CRD 311869 · IAPD ↗ · cwm.vegas · 702-878-3900

$223.0MRegulatory AUM
4Advisory reps
10Employees
0Clients
1-10Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

48
August 2025 — WHALEN FINANCIAL notice-filed in DE, HI, KS, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
44
April 2025 — WHALEN FINANCIAL notice-filed in OR, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
February 2025 — WHALEN FINANCIAL reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
42
April 2024 — WHALEN FINANCIAL notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
62
April 2024 — WHALEN FINANCIAL reported RAUM up 36% ($116.0M -> $157.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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