Asset manager
Wall Street Investment Management, LLC
SEC-registered investment adviser · CRD 143975 · SEC 801-125932
At a glance
Wall Street Investment Management, LLC is an SEC-registered investment adviser based in United States, with $175 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is corporations or other businesses. By Form ADV it is a asset manager, ranked 2,167th of 3,218 asset managers and 12,929th of 17,210 SEC-registered advisers by assets.
wallstim.comAs filed on Form ADV
- Regulatory AUM
- $175M
- Rank among asset managers
- #2,167 of 3,218
- Rank among all SEC RIAs
- #12,929 of 17,210
- Clients
- 0
- Accounts
- 9
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Sriram SrinivasanChief Compliance Officer
Custody and brokerage
6 custodians
- J.P. Morgan$69M39%
- Interactive Brokers$59M34%
- Merrill / Bank of America$16M9%
- Morgan Stanley$15M9%
- Oppenheimer & Co.$13M7%
- Crews & Associates$3M2%
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | – | $138M | 79% |
| High-net-worth individuals | – | $19M | 11% |
| Other | – | $18M | 10% |
Private funds
Wall Street Investment Management, LLC reports 1 private funds with $18M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Wall Street Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Other services
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗wallstim.com ↗
AtlasMembers
The full record on Wall Street Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 764 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Wall Street Investment Management, LLC manage?
Wall Street Investment Management, LLC reports $175 million in regulatory assets under management across 9 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Wall Street Investment Management, LLC?
Wall Street Investment Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Wall Street Investment Management, LLC’s clients?
By assets, its largest client types are corporations or other businesses ($138 million); high-net-worth individuals ($19 million); other ($18 million).
Does Wall Street Investment Management, LLC manage private funds?
Yes. It reports 1 private funds with $18 million in gross assets, including other private funds.
Does Wall Street Investment Management, LLC have any disciplinary history?
Wall Street Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Wall Street Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →