Wharton Midmarket Investment Advisors Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$224,599,970
Clients
43
Advisors
2
across 2 offices
About
Wharton MidMarket Investment Advisors, Inc. provides investment advisory and financial planning services to individuals, high‑net‑worth clients, trusts, estates and retirement plans. The firm also offers a wrap‑fee Ambassador account administered by Raymond James and delivers ongoing portfolio management and consulting services.
The firm’s investment approach is primarily long‑term and fundamental‑analysis driven, with portfolios constructed from equities, fixed income, mutual funds, ETFs and, when appropriate, insurance and annuity products. Wharton generally manages client assets on a non‑discretionary basis and reports $0 in discretionary and $140,675,095 in non‑discretionary assets under management as of December 31, 2023, while providing periodic rebalancing and client‑directed trading.
What is distinctive about Wharton is its small advisory team (two advisory persons in the firm’s ADV supplements) combined with affiliations and business activities beyond pure advisory work: principals are registered representatives of an affiliated broker‑dealer and are licensed insurance professionals, and the firm discloses commission‑based activities and a policy not to charge an asset‑based advisory fee on the same assets that generate commissions. The firm’s broader ADV filing also indicates less common client relationships for a firm of its size — including institutional or non‑retail relationships such as banking, insurance company, state/municipal and other adviser clients — and these affiliations and client types are disclosed as potential conflicts the firm addresses through disclosure and procedures.
Client services
Expertise
Fee options
$0 - $200,000: 2.00% annually $200,001 - $500,000: 1.50% annually $500,001+: 1.00% annually
Commissions received by registered representatives for securities transactions and insurance sales; not charged asset-based fees on same assets
Up to $500 per hour, negotiable, for financial planning and consulting services
Account minimum: $25,000 (for Ambassador Accounts; general accounts have no stated minimum) Fee-only: Hourly rate up to $500/hour for financial planning and consulting services, negotiable
Main office
See office27 Brook Road
Woodbridge CT 06525
Advisors at this office
1
Offices (2)
Most active in
Connecticut
Also doing business as
Wharton Midmarket Investment Advisors Inc · Wharton Midmarket Investment Advisors Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Douglas H
Series 66
Milford, CT
Wharton Midmarket Investment Advisors Inc
Douglas Harrigan is a financial advisor with Wharton Midmarket Investment Advisors Inc and holds a Series 66 designation. He has 35 years of industry experience, including roles at Wharton Midmarket Securities Inc., Niagara International Capital Limited, and as owner of Harrigan Insurance & Financial Services since 1994. Wharton MidMarket Investment Advisors, Inc. provides investment advisory, portfolio management, and financial planning services primarily to individuals, high-net-worth clients, trusts, estates, and pension/profit-sharing plans, with additional institutional and non-retail clients. The firm generally offers customized, primarily non-discretionary investment management focused on long-term, fundamental analysis and also provides an Ambassador wrap program administered by Raymond James.
Paul H
Series 63, Series 66
Woodbridge, CT
Wharton Midmarket Investment Advisors Inc
Paul Harrigan is a financial advisor at Wharton Midmarket Investment Advisors Inc with 13 years of industry experience. He holds Series 63 and Series 66 licenses and has worked with Wharton Midmarket Securities, Inc. since 2013, Independent Investment Bankers Corp. since 2012, and Wharton Midmarket Advisors LLC since 2001. Outside of advisory work, he owns and operates a management consulting business, Wharton Midmarket Advisors, LLC. Wharton MidMarket Investment Advisors, Inc. provides investment advisory, portfolio management, and financial planning services primarily to individuals, high-net-worth clients, trusts, estates, and pension/profit-sharing plans. The firm emphasizes customized, primarily non-discretionary investment management based on long-term fundamental analysis and also offers an Ambassador wrap program administered by Raymond James.
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