Harold
Whalen

Thornburg Investment Management Inc

CRD#4558083
Investment Advisor
in Santa Fe, NM

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About this Advisor

Harold Whalen is a financial advisor operating in Santa Fe, New Mexico with 3 years of industry experience. Whalen is currently employed by Thornburg Investment Management Inc. During their career, the advisor has held roles at Natixis Global Associates and Thornburg Securities Corp. Whalen has Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is registered to serve investors in Maryland and New Mexico. Thornburg Investment Management Inc is a business headquartered in Santa Fe, NM. It oversees $39 billion in total assets among its 658 client accounts, placing it among the largest investment advisory firms in the United States by assets under management. The firm serves 12 charities and foundations. Of its 658 customer accounts, 65% are held by high-net-worth individuals who have greater than $1 million in assets available to invest. The business has a number of services, such as portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles and portfolio management for institutional clients. Financial management fees typically depend on which services are offered. Fee types billed by Thornburg Investment Management Inc most likely are comprised of some combination of asset-based and performance-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

3 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients

Fee Structure

Percentage of Assets, Performance-based Fees

Office Location

2300 North Ridgetop Road
Santa Fe, NM 87506

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Thornburg Investment Management Inc Brokerage Details

Total Assets Under Management

$38,735,282,461

NM Average: $3,612,835,751
Total Number of Employees

204

NM Average: 18
Total Number of Accounts

658

NM Average: 517
Average Account Size

$58,868,210

NM Average: $6,988,077

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients

Harold Whalen Work History

Harold has been registered as a financial advisor for 3 years.*

2020 - Present (4 years)

Thornburg Securities Corp

2011 - 2020 (9 years)

Natixis Global Associates

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Harold Whalen to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Thornburg Investment Management Inc

Elijah King
Santa Fe, NM
John Hackett
Santa Fe, NM
Tyler Jenkins
Santa Fe, NM
Danielle Morrison
Denver, CO
Brian Ridgeway
Santa Fe, NM
Mahmut Arikan
Santa Fe, NM
Linda Short
Santa Fe, NM
Allison Dawe
Santa Fe, NM

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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