DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Wharton Wealth Management, LLC
Latest filing Apr 1, 2026
First filing on the tape Mar 31, 2021 · 9 filings
SEC status approved since May 18, 2021
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$203M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$209M as of Apr 1, 2026
Mar 31, 2022$128M then
HNW client RAUM$138M as of Apr 1, 2026
Mar 31, 2022$71.0M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 31, 20222 then
Employees (5.A)2 as of Apr 1, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +23% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 164derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $219,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M66%
- Individuals$65.0M31%
- Pension and profit-sharing plans$3.5M1.7%
- Corporations and businesses$2.5M1.2%
- Individual clients
- 250reported
- HNW clients
- 77reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 951reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- John Joseph Morgenthaler from Fsc Securities CorporationMar 31, 2021 · Affiliated broker-dealer or bank to independent RIA
- Robert Charles Gueriera from Fsc Securities CorporationSep 20, 2016 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Fsc Securities CorporationNov 3, 2023 · Malvern, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Robert Gueriera · President And Ccocontrolsince 05/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Malvern, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 914 to 951Mar 31, 2025 to Apr 1, 2026
- Corporate clients · 0 to 2Mar 31, 2025 to Apr 1, 2026
- HNW clients · 75 to 77Mar 31, 2025 to Apr 1, 2026
- Individual clients · 243 to 250Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $170M to $209MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $110M to $138MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $54.9M to $65.0MMar 31, 2025 to Apr 1, 2026
- Pension RAUM · $2.9M to $3.5MMar 31, 2025 to Apr 1, 2026
- RAUM · $170M to $209MMar 31, 2025 to Apr 1, 2026
- Accounts · 952 to 914Mar 27, 2024 to Mar 31, 2025
- HNW clients · 63 to 75Mar 27, 2024 to Mar 31, 2025
- Individual clients · 249 to 243Mar 27, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 4Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $148M to $170MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $93.2M to $110MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $49.8M to $54.9MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · $2.4M to $2.9MMar 27, 2024 to Mar 31, 2025
- RAUM · $148M to $170MMar 27, 2024 to Mar 31, 2025
- Accounts · 899 to 952Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to Mar 27, 2024
- BD registered reps · 3 to 2Mar 29, 2023 to Mar 27, 2024
- HNW clients · 56 to 63Mar 29, 2023 to Mar 27, 2024
- Individual clients · 222 to 249Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · 6 to 5Mar 29, 2023 to Mar 27, 2024
- Employees · 3 to 2Mar 29, 2023 to Mar 27, 2024
- Insurance-licensed employees · 3 to 2Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $126M to $148MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $69.0M to $93.2MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $49.1M to $49.8MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $6.7M to $2.4MMar 29, 2023 to Mar 27, 2024
- RAUM · $126M to $148MMar 29, 2023 to Mar 27, 2024
- Related broker-dealer · true to falseMar 29, 2023 to Mar 27, 2024
- Accounts · 756 to 899Nov 11, 2022 to Mar 29, 2023
- Advisory employees · 2 to 3Nov 11, 2022 to Mar 29, 2023
- BD registered reps · 2 to 3Nov 11, 2022 to Mar 29, 2023
- HNW clients · 76 to 56Nov 11, 2022 to Mar 29, 2023
- Individual clients · 168 to 222Nov 11, 2022 to Mar 29, 2023
- Employees · 2 to 3Nov 11, 2022 to Mar 29, 2023
Signals
2 dated events
- 2 advisors left Fsc Securities Corporation (Malvern, PA) for Wharton Wealth Management, LLC on the same dayNov 3, 2023 · Team lift-out · derived
- Wharton Wealth Management, Llc filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 484-328-3590reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 484-328-3958reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- WHARTONWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 484-328-3590reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- whartonwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- whartonwealth.com/our-team-1reportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026