WHALEN FINANCIAL
SEC RegisteredConfessions of a Wealth Manager
About the firm
Whalen Financial is led by Andrew Whalen, CEO and author of 'Confessions of a Wealth Manager,' a guide designed to help individuals evaluate their financial advisor and uncover hidden truths about financial advice.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Book ('Confessions of a Wealth Manager') and an Advisor Red Flag Checklist providing tools to evaluate financial advisors, identify red flags in portfolios, understand advisor commissions and incentives, and learn wealth management strategies
Who they serve
People who want to evaluate their financial advisor and take control of their financial future
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 322 | $88M |
| High Net Worth Individuals | 69 | $133M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 0 | $0 |
| State/Municipal Entities | 2 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
5 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $0 - $2,000,000 | 1.20% |
| $2,000,001 - $5,000,000 | 1.00% |
| $5,000,001 - $10,000,000 | 0.50% |
| $10,000,001 and Up | 0.35% |
Data as of March 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. WHALEN FINANCIAL has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.