WHARTON MIDMARKET INVESTMENT ADVISORS INC
WHARTON MIDMARKET INVESTMENT ADVISORS INC. Legal Name
Adviser information for WHARTON MIDMARKET INVESTMENT ADVISORS INC last updated from Form ADV on February 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 35 | $140.7M |
| Total | 35 | $140.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $20,736 |
| HNW Individuals | 29 | $138.6M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $2.0M |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-116676 |
|---|---|
| SEC ERA File Number | 801-116676 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301186 |
| Legal Entity Identifier | None |
Principal Office
27 BROOK ROADWOODBRIDGE
CT
United States
Monday - Friday, 9AM-5PM
Tel: 2036069696, Fax: None
Chief Compliance Officer
PAUL HARRIGAN
PRESIDENT
27 BROOK ROAD
WOODBRIDGE
CT
United States
Tel:
(203)606-9696
P***@***************************M
(Full email address available in API data)
Regulatory Contact
JEFFREY TOOKE
CONSULTANT
2 UNION PLACE
BUFFALO
NY
United States
Tel:
716-912-8557
J******@********************M
(Full email address available in API data)
Industry Affiliates
| WHARTON MIDMARKET SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARRIGAN, PAUL | Individual | – | SHAREHOLDER, PRESIDENT, CCO | 02/2019 | > 75% |