# Whitney & Company

> 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.

- CRD: 117307
- Filed as: WHITNEY & COMPANY
- Legal name: W.g.shaheen & Associates,ltd.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rochester, NY
- Filing period: October 2026
- Form ADV filing dated: September 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/117307
- AdvisorCensus page: https://advisorcensus.com/firm/whitney-and-company-rochester-ny-117307

## Quick answers

**How is Whitney & Company compensated?**
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).

**How much does Whitney & Company charge?**
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.

**Where is Whitney & Company located?**
Whitney & Company's principal office is in Rochester, NY, according to its Form ADV.

**Is Whitney & Company registered with the SEC or a state?**
Whitney & Company is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 117307.

**How much does Whitney & Company manage?**
Whitney & Company reports $1,490,490,730 in regulatory assets under management in its Form ADV filing dated September 1, 2026 (100% discretionary).

**How have Whitney & Company's assets and staff changed since 2021?**
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.

**What types of clients does Whitney & Company serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (530); high net worth individuals (209).

**Which custodians does Whitney & Company use?**
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.

**Does Whitney & Company 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/117307

**Does Whitney & Company state an account minimum?**
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."

**What changed in Whitney & Company's recent Form ADV filings?**
In the October 2026 filing data: 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)

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- 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

> 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%

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

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: $1,490,490,730
- Discretionary: $1,490,490,730
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 530 | $450,501,055 |
| High net worth individuals | 209 | $1,039,989,675 |

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

### Firm details
- Registered since: 2001 (24 years)
- Employees: 12 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, FL, GA, LA, MA, MD, NC, NJ, NY, OH, PA, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- whitneyandcompany.com
- LinkedIn @w-g-shaheen-&-associates-dba-whitney-&-company

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $702,036,119 | 12 | March 23, 2021 |
| October 2022 | $878,141,206 | 12 | May 18, 2022 |
| October 2023 | $794,075,267 | 12 | April 6, 2023 |
| October 2024 | $1,017,218,031 | 12 | May 15, 2024 |
| October 2025 | $1,150,646,873 | 12 | April 14, 2025 |
| October 2026 | $1,490,490,730 | 12 | September 1, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Regulatory assets under management went from $1,150,646,873 to $1,490,490,730 (+30%).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Whitney & Company (CRD 117307): Form ADV filing data as of October 2026.