Whalen Wealth Management Inc.
- Regulatory AUM
- $223M
- Discretionary
- $223M
- Clients
- 400
- Avg AUM / client
- $557K
- Accounts
- 825
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of May 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 322 | $87.5M | 39.3% |
| High net worth individuals | 69 | $133M | 59.7% |
| Charitable organizations | 2 | $565K | 0.25% |
| Corporations and other businesses | 7 | $1.8M | 0.79% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Andrew Joseph Whalen | President & Chief Compliance Officer | Nov 2020 (6y) | 75% or more | |
| Luke Perry | Registered representative | Feb 2025 (1y) | ||
| Vanessa Medina | Registered representative | Jun 2025 (1y) | ||
| Antonio Villanueva Rios | Registered representative | Jan 2026 (1y) | ||
| Kim Thanh Dang | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/07/2026 | 893 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $209M (94% of AUM) May 2026
- Truist Financial Corp $14.2M (6% of AUM) May 2026
- Altruist Financial $14.2M (6% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 07, 2026.
View current Form ADV (SEC/IAPD) ↗