AdvisorCensus / Financial advisors / New York / New York / Wharton Wealth Planning, LLC
Wharton Wealth Planning, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 16, 2026.
Quick answers
From the filingHow is Wharton Wealth Planning, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Wharton Wealth Planning, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Wharton Wealth Planning, LLC located?
Wharton Wealth Planning, LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Wharton Wealth Planning, LLC registered with the SEC or a state?
Wharton Wealth Planning, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 319716.
How much does Wharton Wealth Planning, LLC manage?
Wharton Wealth Planning, LLC reports $36,871,967 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (94% discretionary).
What types of clients does Wharton Wealth Planning, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (19); individuals (other than high net worth individuals) (2).
Which custodians does Wharton Wealth Planning, LLC use?
Wharton Wealth Planning, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets.
Does Wharton Wealth Planning, LLC 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/319716
Does Wharton Wealth Planning, LLC state an account minimum?
Its Form ADV Part 2A brochure dated July 2, 2026 says: "WWP generally requires a minimum of $2 million in household assets under management to establish and maintain an advisory relationship. WWP may, in its sole discretion, waive or reduce this minimum requirement based on the client's circumstances."
What changed in Wharton Wealth Planning, LLC's recent Form ADV filings?
In the October 2026 filing data: Added an office in Englewood Cliffs, NJ. Registered or notice-filed in NJ.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $2,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
WWP generally requires a minimum of $2 million in household assets under management to establish and maintain an advisory relationship. WWP may, in its sole discretion, waive or reduce this minimum requirement based on the client's circumstances.
As stated in the firm's Form ADV Part 2A brochure dated July 2, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$36,871,967 as of October 2026, filing dated September 16, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the October 2026 filing
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- October 2026
- Added an office in Englewood Cliffs, NJ.
- Registered or notice-filed in NJ.
- August 2026
- Regulatory assets under management went from $30,654,976 to $36,871,967 (+20%).
- May 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Wharton Wealth Planning, LLC (CRD 319716): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/wharton-wealth-planning-llc-new-york-ny-319716