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Director/chief Compliance Officer/investment Advisor Representative · Wharton Wealth Planning, LLC

David B. Rosenstrock

CRD 5234422 · Named on Form ADV at one SEC-registered adviser

At a glance

Wharton Wealth Planning, LLC, an SEC-registered wealth manager based in New York, NY with $37 million in regulatory assets, lists David B. Rosenstrock on its Form ADV as Director/chief Compliance Officer/investment Advisor Representative, a control person.

Firms and roles

  • Wharton Wealth Planning, LLCDirector/chief Compliance Officer/investment Advisor RepresentativeWealth manager · New York, NY · $37M in regulatory assets

AtlasMembers

David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.