WHARTON BUSINESS GROUP, LLC of MALVERN, PA is an SEC-registered investment adviser (CRD 133722). Regulatory assets under management: $4.6B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Billy Joe Webster | CHIEF COMPLIANCE OFFICER | — |
| WEBSTER BILLY JOE | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER; MANAGING MEMBER/CCO | — |
| HEMBROUGH MARC ALEXANDER | MEMBER | — |
| DELANEY MATTHEW SULLIVAN | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2009-10-23 | civil | ERISA PROHIBITED TRANSACTIONS - BREACH OF FIDUCIARY DUTY | Final | $1 |