SEC-registered independent wealth management RIA
M.A. Whelan Financial Planning
As of its Form ADV filed March 2, 2026, M.A. Whelan Financial Planning, an SEC-registered independent wealth management RIA in Cortlandt Manor, New York, reported $77.4 million in regulatory assets under management across 148 accounts, ranking #515 among independent RIAs in New York by assets.
Registration
- Main office
- Cortlandt Manor, NY
- Registration
- SEC-registered, Approved
- CRD number
- 140357
- SEC file number
- 801-122165
- Registered since
- August 25, 2021
- Latest Form ADV filing
- March 2, 2026
- Organized as
- Sole Proprietorship
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $77.4 million
- Discretionary
- $77.4 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 148 (148 discretionary)
- Clients
- 48, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $522,699
- Asset growth, 1 year
- 31.8% (from $58.7 million a year earlier)
- Asset growth, 3-year annual rate
- 23.1% (from $41.5 million three years earlier)
- Asset growth, 5-year annual rate
- 15.0% (from $38.5 million five years earlier)
- Client growth, 1 year
- 0.0% (from 48)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 4, 2021 | $38.5 million |
| October 3, 2022 | $42.8 million |
| October 5, 2023 | $41.5 million |
| October 1, 2024 | $43.5 million |
| September 2, 2025 | $58.7 million |
| October 2, 2026 | $77.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 29 clients | $69.8 million | |
| Individuals (other than high net worth) 17 clients | $7.6 million |
How the firm is paid
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
Designations held by the firm's IARs: CFP 1.
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| RSD Advisors | Brooklyn | $78.1 million |
| Connective Wealth Partners, LLC | Farmingdale | $77.6 million |
| GPS Financial, LLC | Pittsford | $77.3 million |
| O'Bannon & Davis Inc. | Williamsville | $77.2 million |
| Palm Capital Group LLC | Southampton | $77.2 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- M.A. Whelan Financial Planning on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.mawhelanfinancial.com
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.