{
  "crd_number": 107227,
  "slug": "whelan-financial-fresno-ca-107227",
  "primary_business_name": "WHELAN FINANCIAL",
  "legal_name": "WHELAN FINANCIAL",
  "dbas": [],
  "city": "Fresno",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "23420",
  "metro": {
    "cbsa_code": "23420",
    "common_name": "Fresno",
    "msa_name": "Fresno, CA",
    "path": "/advisors/ca/fresno"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1991-10-28",
  "years_registered": 34,
  "period": "2026-10-01",
  "filing_date": "2026-01-27",
  "carried_forward": false,
  "raum_total": 781750987.0,
  "raum_discretionary": 781750987.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 9,
  "advisory_employees": 7,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 11869965.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 75124877.0,
      "count": 248
    },
    "pension_profit_sharing": {
      "raum": 137497924.0,
      "count": 37
    },
    "high_net_worth_individuals": {
      "raum": 555935804.0,
      "count": 222
    },
    "corporations_other_businesses": {
      "raum": 1322417.0,
      "count": 3,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "ID",
    "IL",
    "MA",
    "NV",
    "OR",
    "TX",
    "WA"
  ],
  "websites": [
    "https://facebook.com/WHELANFINANCIAL",
    "https://linkedin.com/COMPANY/WHELAN-FINANCIAL",
    "https://whelanfinancial.com",
    "https://youtube.com/channel/UCRVyWX4XQthjR01DGbyrrPA/videos"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107227",
  "city_as_filed": "FRESNO",
  "url": "https://advisorcensus.com/firm/whelan-financial-fresno-ca-107227",
  "display_name": "Whelan Financial",
  "summary": "Whelan Financial is an SEC-registered investment advisory firm in Fresno, CA, registered since 1991, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated January 27, 2026.",
  "citation": "AdvisorCensus. Whelan Financial (CRD 107227): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Whelan Financial compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Whelan Financial reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Whelan Financial located?",
      "a": "Whelan Financial's principal office is in Fresno, CA, according to its Form ADV."
    },
    {
      "q": "Is Whelan Financial registered with the SEC or a state?",
      "a": "Whelan Financial is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 107227."
    },
    {
      "q": "How much does Whelan Financial manage?",
      "a": "Whelan Financial reports $781,750,987 in regulatory assets under management in its Form ADV filing dated January 27, 2026 (100% discretionary)."
    },
    {
      "q": "How have Whelan Financial's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Whelan Financial: Regulatory assets under management: $404,381,418 in the October 2021 data and $781,750,987 in the October 2026 data, up 93%. Total employees: 9 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Whelan Financial serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (248); high net worth individuals (222); pension and profit sharing plans (but not the plan participants or government pension plans) (37)."
    },
    {
      "q": "Which custodians does Whelan Financial use?",
      "a": "Whelan Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Whelan Financial report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107227"
    },
    {
      "q": "What changed in Whelan Financial's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $674,632,385 to $781,750,987 (+16%). Registered or notice-filed in MA. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 404381418.0,
      "total_employees": 9,
      "filing_date": "2021-03-26"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 484147491.0,
      "total_employees": 8,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 453138645.0,
      "total_employees": 8,
      "filing_date": "2023-03-15"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 568753932.0,
      "total_employees": 8,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 674632385.0,
      "total_employees": 8,
      "filing_date": "2025-07-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 781750987.0,
      "total_employees": 9,
      "filing_date": "2026-01-27"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $674,632,385 to $781,750,987 (+16%).",
        "Registered or notice-filed in MA.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/whelan-financial-fresno-ca-107227.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 248,
      "fewer_than_5": false,
      "raum": 75124877.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 222,
      "fewer_than_5": false,
      "raum": 555935804.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 37,
      "fewer_than_5": false,
      "raum": 137497924.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 11869965.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 3,
      "fewer_than_5": true,
      "raum": 1322417.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107227",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}