Wharton Midmarket Investment Advisors Inc
Answer a few questions and
get matched with an advisor.
Learn more about Wharton Midmarket Investment Advisors Inc
Overview
Wharton Midmarket Investment Advisors Inc is a financial advisory company located in Woodbridge, Connecticut. It manages $125.9 million in total assets across 29 accounts, placing it in the mid-tier of firms in the country by assets under management (AUM). The company has a small group, including 2 financial advisors. Wharton Midmarket Investment Advisors Inc is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as tradable financial assets like equities, bonds and options.
Wharton Midmarket Investment Advisors Inc manages zero of the firm's accounts in a discretionary manner. Discretionary management means that buy and sell choices are made by an investment advisor without needing the client's permission. Wharton Midmarket Investment Advisors Inc also manages 29 non-discretionary accounts totaling $125.9 million in AUM. The investment advisory firm supervises roughly $4.3 million in assets for each account. An average financial advisor at Wharton Midmarket Investment Advisors Inc oversees about 15 client accounts, placing it among the more personalized financial advisor firms in the country.
Wharton Midmarket Investment Advisors Inc's central office is located at 27 Brook Road, Woodbridge, Connecticut 6525. Wharton Midmarket Investment Advisors Inc is allowed to serve investors in the state of Connecticut.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Wharton Midmarket Investment Advisors Inc by the Numbers
$125.9 million
2
29
$4.3 million
Products and Services
Financial services that Wharton Midmarket Investment Advisors Inc provides can include financial planning services and portfolio management for individuals and small businesses. Notably, the company did not provide any of its customers with financial planning services in the last fiscal year. The company is not engaged in selling products or offering services apart from investment advisory services to its investment advisory clients. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer.
Core Advisor Services
-
Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
-
Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
-
Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
-
Find a firm that offers this service
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
-
Find a firm that offers this service
Publication of Periodicals
This is the publication of various financial education materials.
-
Find a firm that offers this service
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees charged by financial advisors typically are based on which services the firm provides the client. However, fee types billed by the firm most likely are comprised of some blend of the following fee structures: asset-based or hourly. The company does not participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 21% of firms
Hourly
Unavailable
-
Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
-
Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 32% of firms that offer this fee type
Fixed
-
Find one of the 10% of firms that offer this fee type
Other
Types of Clients
Wharton Midmarket Investment Advisors Inc caters to retail investors, high net worth investors and corporations. Out of its 29 accounts, Wharton Midmarket Investment Advisors Inc's biggest client by number of accounts is high net worth investors, though it also manages money for 23 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are from outside of the U.S.
- High-Net-Worth Individuals* - 79.31%
- Other Individuals - 10.34%
- Corporations - 10.34%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
Find an advisor who will work directly with you
Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.
Disclosures
Wharton Midmarket Investment Advisors Inc does not have any disclosures.
Please visit its Form ADV for more details.
Find a financial advisor near you
If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.
Financial Advisors at Wharton Midmarket Investment Advisors Inc
Woodbridge, CT
Milford, CT
Not sure which advisor is right for you? Use our matching tool
Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today
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.
The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.
This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.
This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.