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WHALE

CHICAGO, IL · CRD 330063 · IAPD ↗ · getwhale.co · 8884887104

$2.5MRegulatory AUM
2Advisory reps
7Employees
0Clients
0Planning clients
0Private funds
41States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

48
October 2026 — WHALE notice-filed in AL, HI, MS, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
September 2026 — WHALE notice-filed in AR, IA, IN, KS, ME, MI, MN, MO, MT, NE, NV, OK, SC, WI, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
June 2025 — WHALE notice-filed in DC, NC, OR, TN, UT, VA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
March 2025 — WHALE grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
February 2025 — WHALE notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
44
January 2025 — WHALE notice-filed in NJ, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
October 2024 — WHALE notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
October 2024 — WHALE's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
July 2024 — WHALE notice-filed in AZ, CA, CO, GA, KY, MA, OH, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
June 2024 — WHALE (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 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.