Kerry Richard Whalen

Employer firm

On Investment Management Co CRD 105662

$3.15B regulatory AUM 308 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SEI, ASSETMARK, BRINKER CAPITAL, BNY MELLON ADVISORS, INC, SYMMETRY PARTNERS, ENVESTNET

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2003 → Present
  The O.N. Equity Sales Company
  Cincinnati, OH
• 01/2003 → 09/2022
  Whalen Capital, Inc.
  Schoefield, WI
• 01/2000 → 08/2021
  Kermar Properties
  Schofield, WI
• 07/1997 → Present
  Paragon Group Of Wausau Llc
  Schofield, WI
• 01/2008 → Present
  Granite Oaks Properties
  Schofield, WI
• 01/2008 → Present
  Corporate Retirement Solutions Llc
  Schofield, WI
• 01/2009 → Present
  Granite Oaks Llc
  Schofield, WI
• 01/2011 → 09/2022
  Whalen Financial Group, Inc.
  Schofield, WI
• 08/2013 → Present
  On Investment Management Co
  Cincinnati, OH
• 09/2022 → Present
  Whalen Financial Group, Inc.
  Wausau, WI
• 09/2022 → Present
  Whalen Capital, Inc.
  Wausau, WI

Previous Registrations

• 2004-03-02 → 2026-06-01
  Whalen Capital, Inc.
  Schofield, WI
  Wausau, WI
  Wausau, WI
• 2004-03-03 → 2010-10-25
  Steele Capital Management, Inc.
  Schofield, WI

Other Businesses

WHALEN CAPITAL, INC; YES INVESTMENT RELATED; WAUSAU, WI; RIA; OWNER; 03/09/04;20 HOURS/MONTH(20 DURING SECURITIES TRADING HOURS; PROVIDE FEE BASED INVESTMENT AND RETIREMENT FINANCIAL PLANNING TO FEE BASED CLIENTS. GRANITE OAK PROPERTIES; NOT INVESTMENT RELATED;WAUSAU WI ; REAL ESTATE; OWNER; 01/01/08; 10 HOURS/MONTH(10 DURING SECURITIES TRADING HOURS);FIXES DESTRESSED PROPERTIE AND SELLS ONCE REFURBISHED. CORPORATE RETIREMENT SOLUTIONS;WAUSAU WI; TPA FOR RETIREMENT PLANS; OWNER; 01/01/08; 2HOURS/MONTH(2 DURING SECURITIES TRADING); ALL ADMIN DONE BY QUALIFIED EMPLOYEES. GRANITE OAKS LLC; NOT INVESTMENT RELATED; WAUSAU WI; REAL ESTATE; OWNER; 01/01/2009; 20 HOURS/MONTH (10 DURING SECURITIES TRADING);FIX DISTRESSED PROPERTIES. WHALEN FINANCIAL GROUP INC; INVESTMENT RELATED; WAUSAU, WI; PRESIDENT/INSURANCE AGENT;01/2011; INSURANCE PRODUCT SALES. PARAGON GROUP OF WAUSAU LLC; NOT INVESTMENT RELATED; WAUSAU, WI; OWNER; REAL ESTATE HOLDING COMPANY. ON INVESTMENT MANAGMENT CO; INVESTMENT RELATED; WAUSAU, WI; INVESTMENT ADVISOR REPRESENTATIVE FOR LEGACY CLIENTS; 08/2013; FEE BASED ADVISORY SERVICES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-30
• S63 Uniform Securities Agent State Law Examination
  1994-12-22