{
  "crd_number": 117307,
  "slug": "whitney-and-company-rochester-ny-117307",
  "primary_business_name": "WHITNEY & COMPANY",
  "legal_name": "W.G.SHAHEEN & ASSOCIATES,LTD.",
  "dbas": [],
  "city": "Rochester",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "40380",
  "metro": {
    "cbsa_code": "40380",
    "common_name": "Rochester",
    "msa_name": "Rochester, NY",
    "path": "/advisors/ny/rochester"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2001-10-15",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-09-01",
  "carried_forward": false,
  "raum_total": 1490490730.0,
  "raum_discretionary": 1490490730.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 12,
  "advisory_employees": 8,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 450501055.0,
      "count": 530
    },
    "high_net_worth_individuals": {
      "raum": 1039989675.0,
      "count": 209
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "FL",
    "GA",
    "LA",
    "MA",
    "MD",
    "NC",
    "NJ",
    "NY",
    "OH",
    "PA",
    "TX",
    "VA"
  ],
  "websites": [
    "https://linkedin.com/company/w-g-shaheen-&-associates-dba-whitney-&-company",
    "https://whitneyandcompany.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/117307",
  "city_as_filed": "ROCHESTER",
  "url": "https://advisorcensus.com/firm/whitney-and-company-rochester-ny-117307",
  "display_name": "Whitney & Company",
  "summary": "Whitney & Company is an SEC-registered investment advisory firm in Rochester, NY, registered since 2001, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 1, 2026.",
  "citation": "AdvisorCensus. Whitney & Company (CRD 117307): 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 Whitney & Company compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Whitney & Company reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "What does Whitney & Company's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $2,000,000: 0.75% a year; Above $2,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Whitney & Company located?",
      "a": "Whitney & Company's principal office is in Rochester, NY, according to its Form ADV."
    },
    {
      "q": "Is Whitney & Company registered with the SEC or a state?",
      "a": "Whitney & Company is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 117307."
    },
    {
      "q": "How much does Whitney & Company manage?",
      "a": "Whitney & Company reports $1,490,490,730 in regulatory assets under management in its Form ADV filing dated September 1, 2026 (100% discretionary)."
    },
    {
      "q": "How have Whitney & Company's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Whitney & Company: Regulatory assets under management: $702,036,119 in the October 2021 data and $1,490,490,730 in the October 2026 data, up 112%. Total employees: 12 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Whitney & Company serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (530); high net worth individuals (209)."
    },
    {
      "q": "Which custodians does Whitney & Company use?",
      "a": "Whitney & Company's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Whitney & Company 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/117307"
    },
    {
      "q": "Does Whitney & Company state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"In general, we require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size.\""
    },
    {
      "q": "What changed in Whitney & Company's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 702036119.0,
      "total_employees": 12,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 878141206.0,
      "total_employees": 12,
      "filing_date": "2022-05-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 794075267.0,
      "total_employees": 12,
      "filing_date": "2023-04-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1017218031.0,
      "total_employees": 12,
      "filing_date": "2024-05-15"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1150646873.0,
      "total_employees": 12,
      "filing_date": "2025-04-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1490490730.0,
      "total_employees": 12,
      "filing_date": "2026-09-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $1,150,646,873 to $1,490,490,730 (+30%)."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 27, 2026",
    "tiers": [
      {
        "band": "Up to $1,000,000",
        "rate": "1%"
      },
      {
        "band": "$1,000,000 to $2,000,000",
        "rate": "0.75%"
      },
      {
        "band": "Above $2,000,000",
        "rate": "0.5%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $1,000,000: 1% a year",
          "$1,000,000 to $2,000,000: 0.75% a year",
          "Above $2,000,000: 0.5% a year"
        ],
        "quotes": [
          "Our fee for portfolio management services is based on a percentage of your assets we manage and is set forth in the following fee schedule: Assets Under Management Annual Fee First $1,000,000 1.00% $1,000,000 to $2,000,000 .75% $2,000,000+ .50%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "In general, we require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."
        ]
      }
    ],
    "quotes": [
      "Our fee for portfolio management services is based on a percentage of your assets we manage and is set forth in the following fee schedule: Assets Under Management Annual Fee First $1,000,000 1.00% $1,000,000 to $2,000,000 .75% $2,000,000+ .50%",
      "In general, we require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "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/whitney-and-company-rochester-ny-117307.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 530,
      "fewer_than_5": false,
      "raum": 450501055.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 209,
      "fewer_than_5": false,
      "raum": 1039989675.0
    }
  ],
  "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/117307",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}