Justin B. Whelan

VIVALDI CAPITAL MANAGEMENT LP

FISHERS, IN 46038

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CRD#: 2053714

Professional summary

Justin B Whelan III, CFP®, ChFC®, CLU® is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Fishers, Indiana.

Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Justin has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. WHELAN HAS BEEN THE MANAGING MEMBER OF SUNRISE CAPITAL MANAGEMENT LLC, AN INVESTMENT RELATED BUSINESS LOCATED AT 11634 MAPLE STREET, SUITE 300, FISHERS, IN 46038 SINCE MARCH 1, 2015. SUNRISE CAPITAL MANAGEMENT LLC SERVES AS THE MANAGING MEMBER OF SEVERAL PRIVATE FUNDS. DURING THE MONTH, MR. WHELAN DEVOTES ABOUT 4 HOURS TO THIS BUSINESS, ALL OUTSIDE OF SECURITIES TRADING HOURS. MR. WHELAN COMPLETES ONGOING DUE DILIGENCE ON THE FUNDS, DISTRIBUTIONS INCOME FROM THE FUNDS, RECORDS MEMBER VALUATIONS, ASSISTS THE AUDITORS WITH THE ANNUAL AUDITED FINANCIAL STATEMENTS AND FILES TAX FORMS AS PART OF HIS ROLE AS MANAGING MEMBER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin B Whelan III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 21, 2024 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 11634 Maple Street, Suite 300, Fishers, IN 46038

RIA

CRD#: 160150

FISHERS, IN

Past

May 10, 2001 - March 28, 2014

ALLIANCE AFFILIATED EQUITIES CORPORATION

CRD#: 23928

OVERLAND PARK, KS

Past

October 20, 1998 - February 21, 2025

BIECHELE ROYCE ADVISORS, INC.

RIA

CRD#: 120742

FISHERS, IN

Past

April 16, 1997 - July 28, 2000

B&R INVESTMENT SERVICES, INC.

CRD#: 42676

INDIANAPOLIS, IN

Past

May 5, 1993 - April 18, 1995

FIRST NATIONAL INVESTMENTS, INC.

CRD#: 25865

KOKOMO, IN

Past

November 17, 1992 - May 8, 1997

CAPITAL SELECT INVESTMENTS CORP.

CRD#: 30649

SULLIVAN, IN

Past

April 24, 1990 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

April 24, 1990 - February 3, 1993

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(11/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/23/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/9/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 12/5/1994

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/1992

General Securities Principal Examination

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

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Contact information

Main Address

225 West Wacker Suite 2100, Chicago, IL 60606

Mailing Address

Phone number

(312) 248-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,413
AUM (Assets Under Management)	$ 4,647,085,822

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/22/2024	Cover Page	Report
10/24/2023	Cover Page	Report
07/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Justin B. Whelan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin B Whelan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE AFFILIATED EQUITIES CORPORATION

BIECHELE ROYCE ADVISORS, INC.

B&R INVESTMENT SERVICES, INC.

FIRST NATIONAL INVESTMENTS, INC.

CAPITAL SELECT INVESTMENTS CORP.

HOME LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

VIVALDI CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/1996

Series 63

Date: 4/23/1990

Series 7

Date: 6/16/1990

Series 6

Date: 4/23/1990

Series 53

Date: 1/9/1995

Series 28

Date: 12/5/1994

Series 24

Date: 6/11/1992

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIVALDI CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

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