Stribling-Whalen Financial Group

Stribling-Whalen Financial Group is an SEC-registered investment adviser that intends to serve individuals (including high-net-worth clients), business owners, trusts, foundations, qualified retirement plans and other entities by providing personalized financial planning, discretionary and non-discretionary portfolio management, and business consulting. As a newly registered firm the brochure reports no assets under management at the time of filing.

The firm describes an investment process that typically integrates financial planning with portfolio management and emphasizes customized portfolios that primarily use ETFs and mutual funds while retaining the ability to include equities, bonds, REITs, options, annuities, and alternative or private investments when suitable. Stribling-Whalen also states it can act in a manager-of-managers capacity by recommending, selecting, and monitoring unaffiliated External Managers and setting investment objectives and restrictions for those relationships.

Compared with many newly registered firms with no active advisors, the brochure highlights features that are less common in this category: use of fixed fees for financial planning and business consulting engagements, an explicit role in selecting other advisers, and provision of portfolio management services for both individual and institutional clients (including retirement plans). The brochure also notes the firm may recommend private funds but does not describe providing private fund advisory services, and discloses participation in an institutional custodian platform that includes startup financial and technology support from the custodian.