Whale Shark Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,391,168
Clients
14
21% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
14
LowAverage account size
$527,941
About
The firm provides discretionary portfolio management and financial planning services to individual clients, including high-net-worth individuals, and reports no account minimums. It manages approximately $7.4 million across a small client base (14 clients) and advises on a range of securities including mutual funds, ETFs, equities, fixed income, real estate funds, non-U.S. securities and private placements.
Investment decisions are informed by fundamental analysis and modern portfolio theory and implemented primarily through long-term, discretionary trading guided by an Investment Policy Statement tailored to each client. The firm seeks discretionary authority, conducts quarterly reviews performed by a designated reviewer, and delivers quarterly custodian reports; financial planning engagements are generally delivered as a one-time plan unless additional services are requested.
Notable for its scale, the firm maintains a set of formalized operational practices—such as a written Code of Ethics, proxy voting policies, and an explicit fiduciary acknowledgment for retirement accounts—while managing all client assets in-house rather than selecting third‑party managers. It also uses execution and custody arrangements that may include recommended custodians and potential soft-dollar research benefits, and it does not aggregate trades across client accounts, practices that can affect execution and research access.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Real estate investing
Fee options
Between $150 and $2,700 for financial planning
1.00% annually
Up to $150 per hour
Main office location
Whale Shark Financial LLC
Ann Arbor MI, United States
Number of offices
1
Most active in
Whale Shark Financial LLC has reported serving >5 clients in these states in the last 12 months.
Michigan
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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