Wall St LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Occupation focus
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
Wilmington DE
Advisors at this office
1
Most active in
Delaware
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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.
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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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