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WHN Investor Services, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,400,000
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
WHN provides discretionary investment management to high‑net‑worth individuals and consulting services to institutional corporate retirement plans. Its client work includes preparing written Investment Policy Statements, constructing customized portfolios, and conducting manager, trustee and custodian searches for institutional clients.
For individual accounts WHN typically builds customized portfolios of roughly 25–30 holdings that emphasize dividend‑paying large‑cap stocks and may include U.S. Treasuries or high‑quality corporate bonds, with ETFs or mutual funds used only occasionally. For institutional clients the firm develops IPS documents, recommends asset allocation and the number of managers, conducts manager searches and evaluates performance against customized benchmarks using time‑weighted returns.
The combination of direct discretionary management for high‑net‑worth clients alongside pension consulting and formal trustee/custodian search services is uncommon for firms in this regulatory category. The firm operates at a small scale (about $1.4 million in discretionary AUM with a single registered representative), has provided these services since 1991, and does not charge performance‑based fees.
Client services
Portfolio management
Pension consulting
Expertise
Active portfolio management
Occupation focus
Retired
Fee options
Consulting Services fees quoted as flat fees, subject to negotiation, based on complexity and assets
$1 - $10,000,000: 0.90% $10,000,000+: Negotiable
Account minimum: $1,000,000 (generally recommended minimum for Advisory Services, but may be waived) Fee-only: Advisory Services fees based on asset value as described above; Consulting Services fees are flat fees negotiated per institutional client
Main office location
WHN Investor Services, Inc.
Brookfield WI, United States
Number of offices
1
Most active in
WHN Investor Services, Inc. has reported serving >5 clients in these states in the last 12 months.
Wisconsin
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
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