AW
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
4 advisors
Number of Clients
408 clients
Average Client Portfolio
$471K average
Assets Under Management
$192.3M
Fee Structure
Minimum Investment:None
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $2.0M | 1.20% |
| $2.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.50% |
| $10M+ | 0.35% |
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Financial Plan Fee:$3,300
For portfolio management, fees are based on a percentage of your assets under management (AUM). Financial planning fees are a fixed rate of $3300 for a comprehensive plan, plus an annual $550 fee. Clients are responsible for paying third-party fees such as custodian and brokerage fees. There is no account minimum.
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEducation PlanningFinancial Planning & CoachingInsurance PlanningHigh Net Worth
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Advisor Information
Office location
7160 Rafael Rivera Way, Suite 220, Las Vegas, NV, 89113
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2016Denied
Other Business ActivitiesSells Insurance
Andrew is the CEO and an investment advisor at Whalen Financial, and also works as a fixed insurance agent. He is also involved with Whalen & Associate Insurance Services, Inc., The Whalen Group Inc. (a tax preparation and bookkeeping service), Whalen Private Wealth, and CWM Publishing.
Employment History
Current Registrations
Whalen Financial
March 2021 - Present · 4 yrs 10 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
January 2021 - October 2025 · 4 yrs 9 mos
LPL Financial LLC
November 2017 - January 2021 · 3 yrs 2 mos
LPL Financial LLC Broker
November 2017 - January 2021 · 3 yrs 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
May 2013 - December 2017 · 4 yrs 7 mos
National Planning CorporationBroker
May 2013 - November 2017 · 4 yrs 6 mos
J. W. Cole Advisors, INC.
May 2013 - May 2013 · 0 mos
J.W. Cole Financial, INC.Broker
May 2013 - May 2013 · 0 mos
Financial Advisers of America, LLC
October 2011 - May 2013 · 1 yr 7 mos
Financial Advisers of America, LLCBroker
October 2009 - May 2013 · 3 yrs 7 mos
State Registrations1 state
NV
Advisor
Exams
No exam information available for this advisor.