# Wall ST LLC

> Wall ST LLC is a state-registered investment advisory firm, registered since 2020, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 20, 2024.

- CRD: 300908
- Filed as: WALL ST LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Delaware
- Filing period: October 2026
- Form ADV filing dated: March 20, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/300908
- AdvisorCensus page: https://advisorcensus.com/firm/wall-st-llc-300908

## Quick answers

**How is Wall ST LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Wall ST LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Wall ST LLC registered with the SEC or a state?**
Wall ST LLC is a state-registered investment advisory firm, registered since 2020. Status as filed: APPROVED. CRD 300908.

**How much does Wall ST LLC manage?**
Wall ST LLC reports $0 in regulatory assets under management in its Form ADV filing dated March 20, 2024.

**Does Wall ST LLC report any disciplinary disclosures?**
Reports 7 disclosure items on Form ADV Item 11: yes answers to 4 questions about regulatory matters and 3 questions about civil court matters (11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.H(1)(a), 11.H(1)(b), 11.H(1)(c)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/300908

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $0
- Discretionary: $0
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 0 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE
- Disclosures (Item 11): Reports 7 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?
- 11.H(1)(c): Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/300908

### Websites listed on Form ADV (Item 1.I)
- wallstllc.com
- Instagram @wallstreetllc

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wall ST LLC (CRD 300908): Form ADV filing data as of October 2026.