SourcingSourcing

WHALEN CAPITAL, INC.

A73
CRD 130016·SEC 801-129615·WAUSAU, WI
AUM
$75.1M
$25M-$100M
Est. Revenue
$751K
@ 1% on AUM
Est. EBITDA
$225K
@ 30% margin
Est. Deal Value
$1.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WHALEN CAPITAL, INC.
CRD
130016
SEC file #
801-129615
EIN
—
DBA names
—

Economics

AUM
$75.1M
AUM band
$25M-$100M
AUM trajectory
'25'26
$152.4M → $75.1M▼ -51%
Client mix
Individuals Other210
Individuals High Net Worth24
Corporations2
Charitable Organizations1

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
WAUSAU WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/12/2026
ADV-W filed at
—
Website
whalenfg.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WHALEN, KERRY, RICHARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
WHALEN, KERRY, RICHARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WHALENFG.COM
Rdap Domain Creation Date
2012-08-23T21:01:47Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
Wild West Domains, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
58,912
Form 5500 Compensation Trajectory 3y
202558,912
Form 5500 Plan Count Trajectory 3y
20253
Schedule C Total Compensation
58,912
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
8
Bc Firm IAR Count
8
Custodian Candidates
Full
E*trade4
Pershing2
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-23T21:01:47Z
Rdap Domain Last Changed
2025-08-24T14:40:16Z
Rdap Nameservers
Ns49.domaincontrol.comNs50.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1570057
Trust Company Affiliate
No

People (8)

8
WHALEN, KERRY, RICHARD
IAR · Direct Owner · 87.5%
1570057
Jared William Elijah Kiepke
IAR
7267269
Paul Zablotney
IAR
7855743
Dileonardo, Guilian
IAR
6340775
Fan Feng
IAR
6890180
Christopher Raymond Klein
IAR
7052625
Jake Whalen
IAR
7041474
JACKY LOUIS PETIT-HOMME
IAR
6181225