Wall St LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Wall St LLC provides investment advice and financial planning primarily to businesses, institutions and pension funds on a fee-for-service basis, while also offering investment planning and tailored financial-planning services to individual clients. The firm states it advises clients on the selection of other advisers for a fee and may deliver formal consulting or planning under separate agreements.
The firm describes an investment process that combines Modern Portfolio Theory with fundamental and technical analysis supported by internal research, and discloses that its strategies involve the risk of loss in publicly traded instruments. Wall St LLC operates on a non‑discretionary basis (requiring client approval for each trade), delivers periodic account reporting and annual reviews, and may use performance‑based arrangements in some engagements.
Notable features disclosed in the brochure that differ from many peers include the firm’s ability to charge subscription fees for newsletters or periodicals and to offer hourly and flat‑fee planning arrangements, as well as educational programming and workshops tied to its financial‑literacy activities. The brochure also discloses a prior regulatory order issued in 2015 addressing registration and books-and-records issues (a consented order with a finite suspension period that has since lapsed), and highlights the principal’s ongoing roles in academic and military financial‑counseling programs.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Newsletters or periodicals
Educational seminars or workshops
Expertise
General retirement planning
Income planning
Wealth management
Real estate investing
Occupation focus
Military & Veterans
Fee options
Fixed flat fee may be negotiated for financial planning/consulting services
$0 - $100,000: 1% - 2% $100,000 - $500,000: 1% - 2% $500,000 - $1,000,000: 1% - 2% $1,000,000+: 0.85 Bps - 1.85%
Hourly fee rate for financial planning services agreed upon at engagement
Performance-based fees may be charged on certain types of investments; disclosed prior to engagement
Subscription fees charged for newsletters or publications based on product and subscription term
Minimum fee: $75 annual fee for quarterly performance reports Fee-only: Hourly fee arranged based on complexity for financial planning services
Main office location
Wall St LLC
Wilmington DE, United States
Number of offices
1
Most active in
Wall St LLC has reported serving >5 clients in these states in the last 12 months.
Delaware
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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.
-
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.
Forms ADV
Quick links
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