Whitwell & Co, Llc
- Regulatory AUM
- $117M
- Discretionary
- $117M
- Clients
- 337
- Avg AUM / client
- $347K
- Accounts
- 489
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Jul 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 256 | $48.2M | 41.3% |
| High net worth individuals | 56 | $52.0M | 44.5% |
| Pension and profit sharing plans | 6 | $3.9M | 3.37% |
| Charitable organizations | 2 | $9.2M | 7.92% |
| Corporations and other businesses | 17 | $3.4M | 2.93% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stefan Whitwell | Chief Executive Officer | CFA | Aug 2011 (15y) | ≈ 56.25% – 100% via 0123581321 Trust |
| Whitwell, Floriano, Luzio | Trustee Of 0123581321 Trust | Aug 2011 (15y) | GP / trustee / elected manager of 0123581321 Trust (indirect) | |
| Smith, Jeffrey, Andrew | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Erik Robert Dodds | Registered representative | Jan 2025 (2y) | ||
| Rosemary Soto Wright | Registered representative | CFP | Jan 2025 (2y) | |
| Tracy Lee Dibble | Registered representative | Sep 2025 (1y) | ||
| Paul Jay Reiferson | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| 0123581321 Trust | Owner | Aug 2011 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Stefan Whitwell: 75% – 100% of 0123581321 Trust × 75% – 100% direct ≈ 56.25% – 100% of the firm
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 1 MB | 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $87.9M (75% of AUM) Jul 2026
- Cnb Custody $6.6M (12% of AUM) Jan 2025
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: Jul 06, 2026.
View current Form ADV (SEC/IAPD) ↗