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Whitley Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,870,740
Clients
29
0% 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
29
TypicalAverage account size
$202,439
About
Whitley Financial provides discretionary investment management and financial planning to individuals, high net worth individuals, trusts, estates, and small businesses. The firm reports managing approximately $5.9 million in client assets across roughly 29 client relationships.
Portfolios are constructed using ETFs, mutual funds, individual stocks and bonds and the firm employs both fundamental and technical analysis with a primarily long-term orientation while permitting shorter-term trades as needed. Financial planning and consulting are offered on hourly or fixed-fee terms, and the firm states its fiduciary commitment to clients.
The principal maintains an active insurance license and may receive commission-based compensation for insurance products; the brochure discloses these commissions are separate from advisory fees and that the insurance activity occupies under 10% of the principal’s time, creating a potential conflict of interest. The firm also participates in an institutional platform relationship with a national custodian that provides software and economic benefits, a relationship the firm discloses may influence custodian recommendations.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Fee options
Fixed fees based on expected hours to complete financial planning engagement; negotiable
$0+: 0.50% annually +: up to 1.50% annually
Up to $250 per hour
Main office location
Whitley Financial, LLC
Harrisburg NC, United States
Number of offices
1
Most active in
Whitley Financial, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina · Texas
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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
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