# 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.

- CRD: 319716
- Filed as: WHARTON WEALTH PLANNING, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/319716
- AdvisorCensus page: https://advisorcensus.com/firm/wharton-wealth-planning-llc-new-york-ny-319716

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

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

- Account minimum: $2,000,000 (the brochure says it may be waived or negotiated)

> 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 brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab
- Interactive Brokers LLC

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: $36,871,967
- Discretionary: $34,751,835
- Non-discretionary: $2,120,132

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2 | $1,447,008 |
| High net worth individuals | 19 | $35,424,959 |

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

### Firm details
- Registered since: 2026 (0 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NJ, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Englewood Cliffs, NJ

### Websites listed on Form ADV (Item 1.I)
- wealthtender.com/financial-advisors/david-b-rosenstrock-cfp-mba
- whartonwealthplanning.com
- LinkedIn @107687343
- LinkedIn @107687343
- YouTube @WhartonWealthPlanning

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wharton Wealth Planning, LLC (CRD 319716): Form ADV filing data as of October 2026.