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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WALL STREET FINANCIAL GROUP, INC

WALL STREET FINANCIAL GROUP, INC., CRD 35830

VICTOR, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d03691f4-c791-d973-138a-970753295b45

Data as of Nov 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 105
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Nov 28, 2016
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $448MItem 5.F on the latest filing (2016-11-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $405M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 52
Advisory employees: 52
Accounts: 2,408
Custody, client assets: $0
SEC number: 801-58292
CRD: 35830
Filings on the tape: 14
First filed: Mar 20, 2012
Latest filed: Nov 28, 2016
Organised: Corporation, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ANDERSON, DALE ROBERT	VICE PRESIDENT	D	yes	11/2013	Nov 14, 2013	Nov 28, 2016
BACHFINK, VICTORIA IRENE	CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	03/2008	Mar 20, 2012	Nov 28, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WALL STREET FINANCIAL GROUP, INC.	n/a	Former SEC adviser	$448M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Jun 14, 2016	$448M	$405M	52	52	n/a	n/a	n/a
2015	Jun 26, 2015	$432M	$381M	56	56	n/a	n/a	n/a
2014	May 30, 2014	$454M	$339M	60	60	n/a	n/a	n/a
2013	Jun 27, 2013	$603M	$603M	74	74	n/a	n/a	n/a
2012	Jun 5, 2012	$579M	$579M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$448M	$432M	3.8%	$603M	-9.4%	52	56	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NORTHLANDING FINANCIAL PARTNERS, LLC	2	Sep 2, 2016	Nov 21, 2016	ROCHESTER, NY	Team lift out	Other	5.3%

Relationships

showing 80 of 105

Affiliated with (1)

→ WALL STREET FINANCIAL GROUP, INCRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (2)

← ANDERSON, DALE ROBERTOwnerVICE PRESIDENT, ownership code D, individual
Nov 14, 2013 to presentfactForm ADV
← BACHFINK, VICTORIA IRENEOwnerCHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV

Registered with (75)

← VICTORIA IRENE BACHAdvisorregistration: previous registration
Jul 20, 2004 to Dec 31, 2016factForm ADV
← ROBERT JOEL BERRINAdvisorregistration: previous registration
Apr 9, 2007 to Oct 11, 2016factForm ADV
← ROBERT MASTROSIMONEAdvisorregistration: previous registration
Jan 23, 2002 to Oct 11, 2016factForm ADV
← JOEL ROBERT MANESSAdvisorregistration: previous registration
Jul 6, 2016 to Oct 11, 2016factForm ADV
← AIMEE FRANCESCA CUMMINGSAdvisorregistration: previous registration
Jul 30, 2008 to Oct 5, 2016factForm ADV
← MARK EDWIN KLUGEAdvisorregistration: previous registration
Feb 17, 2009 to Sep 23, 2016factForm ADV
← DEAN MARK LICATAAdvisorregistration: previous registration
Aug 17, 2004 to Sep 23, 2016factForm ADV
← JON TERRY TUBBSAdvisorregistration: previous registration
Jan 12, 2005 to Sep 23, 2016factForm ADV
← DALE ROBERT ANDERSONAdvisorregistration: previous registration
Jan 27, 2005 to Sep 23, 2016factForm ADV
← ROBERT ALAN DICKSAdvisorregistration: previous registration
Jan 3, 2007 to Sep 23, 2016factForm ADV
← THOMAS ROBERT SHORTSLEFAdvisorregistration: previous registration
Feb 28, 2005 to Sep 23, 2016factForm ADV
← DAVID JOHN NAGYAdvisorregistration: previous registration
Apr 13, 2005 to Sep 23, 2016factForm ADV
← CHRISTINE MARIE SLEBODAAdvisorregistration: previous registration
Jul 26, 2004 to Sep 23, 2016factForm ADV
← THOMAS MICHAEL MCLEANAdvisorregistration: previous registration
Feb 17, 2005 to Sep 23, 2016factForm ADV
← LORI ANN ALBERTSAdvisorregistration: previous registration
Apr 13, 2015 to Sep 23, 2016factForm ADV
← REGINAL ROY HYNESAdvisorregistration: previous registration
Aug 8, 2008 to Sep 23, 2016factForm ADV
← ALAN MARC GINSBERGAdvisorregistration: previous registration
Aug 11, 2004 to Sep 23, 2016factForm ADV
← JEFFREY JYHCHEN CHENGAdvisorregistration: previous registration
May 13, 2009 to Sep 23, 2016factForm ADV
← SCOTT LAUREN BATTLEAdvisorregistration: previous registration
Jan 27, 2005 to Sep 23, 2016factForm ADV
← ANN T RIEDERAdvisorregistration: previous registration
Aug 26, 2015 to Sep 23, 2016factForm ADV
← MARK GRAHAM HEINAdvisorregistration: previous registration
Dec 21, 2005 to Sep 23, 2016factForm ADV
← SPENCER MARTIN CORZINEAdvisorregistration: previous registration
Aug 10, 2004 to Sep 23, 2016factForm ADV
← GUY FRANCIS GUARRERAAdvisorregistration: previous registration
Mar 23, 2004 to Sep 23, 2016factForm ADV
← RICHARD ALAN HARTERAdvisorregistration: previous registration
May 5, 2005 to Sep 23, 2016factForm ADV
← MARION ROSANNE SYVERSENAdvisorregistration: previous registration
Feb 18, 2005 to Sep 23, 2016factForm ADV
← JOSEPH STEVEN ALTOBELLIAdvisorregistration: previous registration
Dec 5, 2008 to Sep 23, 2016factForm ADV
← DONALD PAUL BURGERAdvisorregistration: previous registration
Oct 21, 2011 to Sep 23, 2016factForm ADV
← JONATHAN MICHAEL BRYANTAdvisorregistration: previous registration
Jun 10, 2004 to Sep 23, 2016factForm ADV
← AADIL HAROON ZAMANAdvisorregistration: previous registration
Jun 1, 2010 to Sep 23, 2016factForm ADV
← SYED MOHAMMAD NISHATAdvisorregistration: previous registration
Jun 1, 2010 to Sep 23, 2016factForm ADV
and 45 more

Moved with (1)

→ NORTHLANDING FINANCIAL PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Sep 2, 2016 to Nov 21, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d03691f4-c791-d973-138a-970753295b45
First observed: Mar 20, 2012
Last observed: Nov 28, 2016 119 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WALL STREET FINANCIAL GROUP, INC

WALL STREET FINANCIAL GROUP, INC., CRD 35830

VICTOR, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d03691f4-c791-d973-138a-970753295b45

Data as of Nov 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, DALE ROBERT

VICE PRESIDENT

yes

11/2013

Nov 14, 2013

Nov 28, 2016

BACHFINK, VICTORIA IRENE

CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER

yes

03/2008

Mar 20, 2012

Nov 28, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WALL STREET FINANCIAL GROUP, INC.

n/a

Former SEC adviser

$448M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Jun 14, 2016

$448M

$405M

n/a

2015

Jun 26, 2015

$432M

$381M

n/a

2014

May 30, 2014

$454M

$339M

n/a

2013

Jun 27, 2013

$603M

n/a

2012

Jun 5, 2012

$579M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$448M

$432M

3.8%

$603M

-9.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NORTHLANDING FINANCIAL PARTNERS, LLC

Sep 2, 2016

Nov 21, 2016

ROCHESTER, NY

Team lift out

Other

5.3%