Whitney & Company

RIASEC RegisteredEst. 2001
Total AUM
$1.5B
Discretionary
$1.5B
100% of AUM
Avg account
$791K
Accounts
1,885
Employees
12
Advisory reps
11

Firm details

Headquarters
Rochester, New York
CRD number
117307
Registered since
October 15, 2001
Website
www.whitneyandcompany.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI69.77%
  • Individuals30.23%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Whitney & Company is an independent registered investment adviser that has been SEC-registered since 2001 and is owned by an individual. The firm serves primarily individual and family clients, offering financial planning and portfolio management for individuals and small businesses. Its client fee model mixes percentage-of-assets and fixed-fee arrangements. Whitney & Company does not position itself as an ESG-focused manager, is not a multi-state adviser per its snapshot, and is not structured as a capital allocator. The firm was included in the Financial Times’ Top 300 RIA Firms list in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 77%, Public Funds/Mutual Funds 13%, Cash & Cash Equivalents 7%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Private Funds 1%, Other 1%77%
  • Exchange Traded Equities77%
  • Public Funds/Mutual Funds13%
  • Cash & Cash Equivalents7%
  • Non-Exchange Traded Equities1%
  • US Government Bonds1%

Owners & executives

3 of 3
  • William Shaheen

    William Shaheen

    President, CEOCRD 4446365

  • Robert Pickels

    Robert Pickels

    Partner, Chief Investment OfficerCRD 2968427

  • William Shaheen

    William Shaheen

    President, CEOCRD 5172215

Contacts

3 of 8
  • Jeffrey Braverman

    Jeffrey Braverman

    Senior Vice PresidentCRD 5785012

  • Andy Armstrong

    Financial Advisor and Registered RepresentativeCRD 4448534

  • Christopher Radigan

    Christopher Radigan

    Partner, Portfolio ManagerCRD 3189491

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 52

Active vs passive

$265M in ETFs

Passive

65%

$171M

Active

35%

$94M

ETFProviderStyleCategoryValueShares% of portfolio
FIDELITY TOTAL BOND ETF (FBND)FidelityActiveIntermediate Core Plus Bond$44.2M971,40316.69%
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Location

Primary office

Rochester, NY

Monroe

Location

Rochester, NY

Headquartered in Rochester, NY, anchoring the Rochester-Batavia-Seneca Falls, NY metro in the Northeast.

Metro area
Rochester-Batavia-Seneca Falls, NY
Region
Northeast
County
Monroe
Address
959 Panorama Trl S
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth