Wealth manager, independent · Rochester, NY
Whitney & Company
W.g.shaheen & Associates,ltd. · SEC-registered investment adviser · CRD 117307 · SEC 801-60710
At a glance
Whitney & Company is an SEC-registered investment adviser based in Rochester, New York, with $1.5B in regulatory assets under management as of its Form ADV filed September 1, 2026. It reports 739 individual clients, 209 of them high-net-worth, holding an average of about $2.0 million each, and 12 employees. That ranks it 737th among the nation’s 5,657 independent wealth management RIAs and 57th of 408 in New York. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 585-232-6200whitneyandcompany.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #737 of 5,657
- Rank among all SEC RIAs
- #4,275 of 17,210
- Rank in New York
- #57 of 408
- Individual clients
- 739
- High-net-worth clients
- 209
- Accounts
- 1,885
- Discretionary
- 100% of AUM
- Employees
- 12
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- William G. ShaheenPresident/ceo
- Robert F. PickelsPartner
- Christopher M RadiganPartner
- William A ShaheenPartner
- Adam N. MageePartner
- Andy J. ArmstrongChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Whitney & Company reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 209 | $1.0B | 70% |
| Individuals | 530 | $451M | 30% |
Disciplinary disclosures
Whitney & Company reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗whitneyandcompany.com ↗
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The full record on Whitney & Company
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,537 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Seacrest Wealth Management, LLCPurchase | $1.5B | 1,475 |
| Ascent Wealth Partners, LLCNew Hartford | $1.5B | 1,036 |
| John G. Ullman & Associates, IncHorseheads | $1.5B | 992 |
| Shade Tree Advisors LLCSaratoga Springs | $1.5B | 31 |
| Fusion Family Wealth, LLCWoodbury | $1.4B | 359 |
| Sanderson Wealth Management, LLCBuffalo | $1.4B | 318 |
Background
Questions
How much does Whitney & Company manage?
Whitney & Company reports $1.5B in regulatory assets under management across 1,885 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 1, 2026.
How many clients does Whitney & Company have?
It reports 739 individual clients: 209 high-net-worth individuals and 530 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Whitney & Company headquartered?
Its main office is in Rochester, New York. It reports 1 office in total and 12 employees, 8 of whom perform investment advisory functions.
How does Whitney & Company charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Whitney & Company use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed September 1, 2026, it reports these amounts held: Fidelity ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Whitney & Company a hybrid RIA with a broker-dealer?
Whitney & Company reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Whitney & Company a fiduciary?
As an SEC-registered investment adviser, Whitney & Company owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Whitney & Company’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →