SEC-registered wealth management firm Broker-dealer affiliated
Fifth Third Securities, Inc.
As of its Form ADV filed July 14, 2026, Fifth Third Securities, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Cincinnati, Ohio, reported $10.9 billion in regulatory assets under management across 47,014 accounts, ranking #7 among all wealth firms in Ohio by assets.
Registration
- Main office
- Cincinnati, OH
- Registration
- SEC-registered, Approved
- CRD number
- 628
- SEC file number
- 801-63623
- Registered since
- November 17, 2004
- Latest Form ADV filing
- July 14, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1,117
Key figures
- Regulatory assets under management
- $10.9 billion
- Discretionary
- $10.9 billion (100.0%)
- Non-discretionary
- $0
- Accounts
- 47,014 (47,014 discretionary)
- Clients
- 47,014, approximate as reported
- Employees
- 13,533
- Advisory staff
- 848 performing investment advisory functions
- Average account
- $232,373
- Asset growth, 1 year
- 19.7% (from $9.1 billion a year earlier)
- Asset growth, 3-year annual rate
- 14.3% (from $7.3 billion three years earlier)
- Asset growth, 5-year annual rate
- 42.1% (from $1.9 billion five years earlier)
- Client growth, 1 year
- 9.3% (from 43,031)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $246.3 million |
| October 3, 2011 | $336.7 million |
| October 1, 2012 | $375.9 million |
| October 1, 2013 | $438.0 million |
| October 1, 2014 | $603.0 million |
| October 1, 2015 | $779.2 million |
| October 3, 2016 | $813.1 million |
| October 2, 2017 | $887.8 million |
| October 1, 2018 | $1.0 billion |
| October 1, 2019 | $1.1 billion |
| October 1, 2020 | $1.5 billion |
| October 4, 2021 | $1.9 billion |
| October 3, 2022 | $8.9 billion |
| October 5, 2023 | $7.3 billion |
| October 1, 2024 | $8.0 billion |
| September 2, 2025 | $9.1 billion |
| October 2, 2026 | $10.9 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 44,361 clients | $8.2 billion | |
| High net worth individuals 1,938 clients | $2.5 billion | |
| Pension and profit sharing plans 524 clients | $150.9 million | |
| Corporations or other businesses 167 clients | $90.4 million | |
| Charitable organizations 17 clients | $8.8 million | |
| Pooled investment vehicles 7 clients | $5.1 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
- Other
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
- Registered municipal advisor
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Municipal advisor
- Commodity pool operator or commodity trading advisor
- Banking or thrift institution
- Trust company
- Insurance company or agency
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $10.9 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 1,012
- Also registered through a broker-dealer
- 1,011
- Employees who are IARs (Form ADV 5.B(3))
- 1,004
Designations held by the firm's IARs: CFP 72, ChFC 8, CFA 3.
Between 377 and 586 of the firm's 1,012 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 5 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Ohio
| Firm | City | RAUM |
|---|---|---|
| Bartlett & Co. Wealth Management LLC | Cincinnati | $10.3 billion |
| Valmark Advisers, Inc. | Akron | $10.2 billion |
| Key Investment Services LLC | Brooklyn | $8.9 billion |
| Huntington Financial Advisors | Columbus | $7.9 billion |
| Oneseven | Beachwood | $7.7 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Fifth Third Securities, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.53.com/content/fifth-third/en/personal-banking/investments/passageway-managed-account.html
- Wealth management firms in Ohio
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.