# Wharton Midmarket Investment Advisors Inc

> Wharton Midmarket Investment Advisors Inc is an SEC-registered investment advisory firm in Woodbridge, CT, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 30, 2026.

- CRD: 301186
- Filed as: WHARTON MIDMARKET INVESTMENT ADVISORS INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Woodbridge, CT
- Filing period: October 2026
- Form ADV filing dated: April 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/301186
- AdvisorCensus page: https://advisorcensus.com/firm/wharton-midmarket-investment-advisors-inc-woodbridge-ct-301186

## Quick answers

**How is Wharton Midmarket Investment Advisors Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Wharton Midmarket Investment Advisors Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Wharton Midmarket Investment Advisors Inc charge?**
Its Form ADV Part 2A brochure dated April 30, 2026 states: Hourly rate: $500 an hour (financial planning or consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Wharton Midmarket Investment Advisors Inc located?**
Wharton Midmarket Investment Advisors Inc's principal office is in Woodbridge, CT, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Wharton Midmarket Investment Advisors Inc registered with the SEC or a state?**
Wharton Midmarket Investment Advisors Inc is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 301186.

**How much does Wharton Midmarket Investment Advisors Inc manage?**
Wharton Midmarket Investment Advisors Inc reports $231,148,831 in regulatory assets under management in its Form ADV filing dated April 30, 2026 (0% discretionary).

**How have Wharton Midmarket Investment Advisors Inc's assets and staff changed since 2021?**
In the Form ADV data for Wharton Midmarket Investment Advisors Inc: Regulatory assets under management: $136,563,891 in the October 2021 data and $231,148,831 in the October 2026 data, up 69%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Wharton Midmarket Investment Advisors Inc serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (42); corporations or other businesses not listed above (4); individuals (other than high net worth individuals) (1).

**Which custodians does Wharton Midmarket Investment Advisors Inc use?**
Wharton Midmarket Investment Advisors Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Wharton Midmarket Investment Advisors Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/301186

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated April 30, 2026)

- Hourly rate: $500 an hour (financial planning or consulting services)

> offers financial planning or consulting services on an hourly basis at a rate of up to $500 per hour, which may be negotiable depending on the nature and complexity of each Client’s circumstances.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Raymond James & Associates, Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $231,148,831
- Discretionary: $0
- Non-discretionary: $231,148,831

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1 | $906,114 |
| High net worth individuals | 42 | $223,693,856 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | 4 | $6,548,861 |
| Other | Fewer than 5 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2019 (7 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Milford, CT

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $136,563,891 | 2 | March 28, 2021 |
| October 2022 | $139,799,283 | 2 | March 18, 2022 |
| October 2023 | $125,899,886 | 2 | March 7, 2023 |
| October 2024 | $140,675,095 | 2 | February 21, 2024 |
| October 2025 | $222,360,550 | 2 | February 10, 2025 |
| October 2026 | $231,148,831 | 2 | April 30, 2026 |

Regulatory assets under management: $136,563,891 in the October 2021 data and $231,148,831 in the October 2026 data, up 69%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wharton Midmarket Investment Advisors Inc (CRD 301186): Form ADV filing data as of October 2026.