# Whelan Financial

> 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.

- CRD: 107227
- Filed as: WHELAN FINANCIAL
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Fresno, CA
- Filing period: October 2026
- Form ADV filing dated: January 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/107227
- AdvisorCensus page: https://advisorcensus.com/firm/whelan-financial-fresno-ca-107227

## Quick answers

**How is Whelan Financial compensated?**
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).

**Where is Whelan Financial located?**
Whelan Financial's principal office is in Fresno, CA, according to its Form ADV.

**Is Whelan Financial registered with the SEC or a state?**
Whelan Financial is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 107227.

**How much does Whelan Financial manage?**
Whelan Financial reports $781,750,987 in regulatory assets under management in its Form ADV filing dated January 27, 2026 (100% discretionary).

**How have Whelan Financial's assets and staff changed since 2021?**
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.

**What types of clients does Whelan Financial serve?**
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).

**Which custodians does Whelan Financial use?**
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.

**Does Whelan Financial report any disciplinary disclosures?**
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

**What changed in Whelan Financial's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $781,750,987
- Discretionary: $781,750,987
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 248 | $75,124,877 |
| High net worth individuals | 222 | $555,935,804 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 37 | $137,497,924 |
| Charitable organizations | 2 | $11,869,965 |
| Corporations or other businesses not listed above | 3 | $1,322,417 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1991 (34 years)
- Employees: 9 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, ID, IL, MA, NV, OR, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- whelanfinancial.com
- Facebook @WHELANFINANCIAL
- LinkedIn @WHELAN-FINANCIAL
- YouTube @UCRVyWX4XQthjR01DGbyrrPA

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $404,381,418 | 9 | March 26, 2021 |
| October 2022 | $484,147,491 | 8 | March 15, 2022 |
| October 2023 | $453,138,645 | 8 | March 15, 2023 |
| October 2024 | $568,753,932 | 8 | March 26, 2024 |
| October 2025 | $674,632,385 | 8 | July 24, 2025 |
| October 2026 | $781,750,987 | 9 | January 27, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Whelan Financial (CRD 107227): Form ADV filing data as of October 2026.