WHARTON MIDMARKET INVESTMENT ADVISORS INC

RIASEC RegisteredEst. 2019
Total AUM
$231M
Discretionary
$0
0% of AUM
Avg account
$4.9M
Accounts
47
Employees
2
Advisory reps
2

Firm details

Headquarters
WOODBRIDGE, Connecticut
CRD number
301186
Registered since
May 24, 2019
Custodians
RAYMOND JAMES & ASSOCIATES, INC.
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI96.77%
  • Corporations / Businesses2.83%
  • Individuals0.39%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Wharton Midmarket Investment Advisors Inc is a corporation registered with the SEC since 2019 that serves individual, family and institutional clients. The firm operates as a registered representative of a broker-dealer while providing financial planning and portfolio management for individuals and small businesses. Its ownership is listed as individual and its fee arrangements combine a percentage of assets under management and hourly charges. The firm reports it is not an active ESG investor and is not registered as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 61%, US Government Bonds 36%, Cash & Cash Equivalents 3%, Public Funds/Mutual Funds 1%61%
  • Exchange Traded Equities61%
  • US Government Bonds36%
  • Cash & Cash Equivalents3%
  • Public Funds/Mutual Funds1%

Contacts

2 of 2
  • DOUGLAS HARRIGAN

    Managing DirectorCRD 1991560

  • PAUL HARRIGAN

    Managing DirectorCRD 6039178

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

WOODBRIDGE, CT

NEW HAVEN

Location

WOODBRIDGE, CT

Headquartered in WOODBRIDGE, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW HAVEN
Address
27 Brook Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth