SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Wharton Wealth Planning, LLC
New York, NY
CRD 319716
Firm filing updated September 16, 2026 ·
- $36.9MAssets
- 21Clients
- 1Advisory staff
- 21Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals19
- Individuals2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 2 | $1.4 million |
| High net worth individuals | 19 | $35.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$36.9 million
- Accounts21
- Discretionary$34.8 million · 20 accounts
- Non-discretionary$2.1 million · 1 accounts
People
- Employees1
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents1
- Planning clients11 to 25
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 319716, SEC file 801-135877.
- Registered with the SEC as an investment advisor (status date on record: April 9, 2026).
Is Wharton Wealth Planning, LLC a fiduciary?
Short answer: Wharton Wealth Planning, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.