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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

THE WHARTON ADVISORY GROUP, LLC

CRD 120522

WAYNE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e7ad34f-da29-e8ac-35b9-c959eb2ac680

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Mar 30, 2018
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

The Wharton Advisory Group, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $638MItem 5.F on the latest filing (2018-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $638M
Private client RAUM: $607MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 12
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,142
Individual clients: 327
High net worth clients: 130
SEC number: 801-61238
CRD: 120522
Filings on the tape: 13
First filed: Mar 30, 2012
Latest filed: Mar 30, 2018
Organised: Limited Liability Company, Pennsylvania

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COMYNS, MARK, GERARD	Member	D	yes	02/2002	Mar 30, 2012	Mar 30, 2018
FITZGERALD, DAVID, LOUIS	MEMBER; PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	02/2002	Mar 30, 2012	Mar 30, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CLEARVIEW FINANCIAL PARTNERS, LLC	n/a	Independent wealth	$1.1B	N	yes	n/a
BORISLOW, FACTOR & KAUFMANN, LLC	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
BLUE BELL	Pa	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018	$638M	$638M	12	12	2	n/a	n/a
2016	Mar 30, 2017	$368M	$368M	15	15	n/a	n/a	n/a
2015	Mar 30, 2016	$301M	$301M	15	12	n/a	n/a	n/a
2014	Mar 31, 2015	$484M	$484M	23	14	n/a	n/a	n/a
2013	Mar 26, 2014	$378M	$378M	22	13	n/a	n/a	n/a
2012	Mar 28, 2013	$307M	$307M	14	14	n/a	n/a	n/a
2011	Mar 30, 2012	$226M	$226M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$638M	$368M	73.4%	$484M	9.7%	12	15	2	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CLEARVIEW FINANCIAL PARTNERS	2	Jul 5, 2018	May 3, 2018	WAYNE, PA	Team lift out	Other	28.6%
FSC SECURITIES CORPORATION	2	Jul 5, 2018	Jul 21, 2008	BLUE BELL, PA	Team lift out	RIA to ibd	28.6%

Relationships

Affiliated with (1)

→ CLEARVIEW FINANCIAL PARTNERSRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← COMYNS, MARK, GERARDOwnerMEMBER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← FITZGERALD, DAVID, LOUISOwnerMEMBER; PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (9)

← DAVID LOUIS FITZGERALDAdvisorregistration: previous registration
Apr 28, 2006 to Dec 6, 2018factForm ADV
← MARK G COMYNSAdvisorregistration: previous registration
Apr 28, 2006 to Jul 19, 2018factForm ADV
← JEFFREY MITCHELL FACTORAdvisorregistration: previous registration
May 29, 2006 to Jul 5, 2018factForm ADV
← WINFIELD ROSS YOUNGAdvisorregistration: previous registration
Nov 18, 2010 to Jul 5, 2018factForm ADV
← STEVEN RICHARD MONTGOMERYAdvisorregistration: previous registration
Sep 1, 2011 to Jul 5, 2018factForm ADV
← FRANK KENNETH GRABUSKIAdvisorregistration: previous registration
Apr 4, 2012 to Jul 5, 2018factForm ADV
← ANDREW WILLIAM FACTORAdvisorregistration: previous registration
Jul 23, 2014 to Jul 5, 2018factForm ADV
← MARKKU TANELI HAPPONENAdvisorregistration: previous registration
May 23, 2012 to Nov 24, 2015factForm ADV
← DANIEL PATRICK QUINNAdvisorregistration: previous registration
Apr 28, 2006 to Aug 19, 2010factForm ADV

Moved with (2)

→ CLEARVIEW FINANCIAL PARTNERSRegistered adviser2 advisors, team lift out, same day
Jul 5, 2018 to May 3, 2018factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviser2 advisors, team lift out
Jul 5, 2018 to Jul 21, 2008factForm ADV

Dated events

Occurred
Mar 30, 2018
Regulatory AUM changed
The Wharton Advisory Group, Llc reported RAUM $638.3M, up 73% from $368.1M (2017-09-29 to 2018-03-30)
Form ADVobserved 4 days ago
$270M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e7ad34f-da29-e8ac-35b9-c959eb2ac680
First observed: Mar 30, 2012
Last observed: Mar 30, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE WHARTON ADVISORY GROUP, LLC

CRD 120522

WAYNE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e7ad34f-da29-e8ac-35b9-c959eb2ac680

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COMYNS, MARK, GERARD

Member

yes

02/2002

Mar 30, 2012

Mar 30, 2018

FITZGERALD, DAVID, LOUIS

MEMBER; PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

02/2002

Mar 30, 2012

Mar 30, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLEARVIEW FINANCIAL PARTNERS, LLC

n/a

Independent wealth

$1.1B

yes

n/a

BORISLOW, FACTOR & KAUFMANN, LLC

n/a

City

State

Country

Employees

Also broker-dealer

BLUE BELL

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

$638M

n/a

2016

Mar 30, 2017

$368M

n/a

2015

Mar 30, 2016

$301M

n/a

2014

Mar 31, 2015

$484M

n/a

2013

Mar 26, 2014

$378M

n/a

2012

Mar 28, 2013

$307M

n/a

2011

Mar 30, 2012

$226M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$638M

$368M

73.4%

$484M

9.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CLEARVIEW FINANCIAL PARTNERS

Jul 5, 2018

May 3, 2018

WAYNE, PA

Team lift out

Other

28.6%

FSC SECURITIES CORPORATION

Jul 5, 2018

Jul 21, 2008

BLUE BELL, PA

Team lift out

RIA to ibd

28.6%