SEC-registered wealth management firm Broker-dealer affiliated
W&S Brokerage Services, Inc.
As of its Form ADV filed August 4, 2026, W&S Brokerage Services, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Cincinnati, Ohio, reported $257.2 million in regulatory assets under management across 963 accounts, ranking #192 among all wealth firms in Ohio by assets.
Registration
- Main office
- Cincinnati, OH
- Registration
- SEC-registered, Approved
- CRD number
- 8099
- SEC file number
- 801-113946
- Registered since
- September 6, 2018
- Latest Form ADV filing
- August 4, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 69
Key figures
- Regulatory assets under management
- $257.2 million
- Discretionary
- $257.2 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 963 (963 discretionary)
- Clients
- 1,544, approximate as reported
- Employees
- 114
- Advisory staff
- 86 performing investment advisory functions
- Average account
- $267,061
- Asset growth, 1 year
- 46.3% (from $175.8 million a year earlier)
- Asset growth, 3-year annual rate
- 68.4% (from $53.8 million three years earlier)
- Asset growth, 5-year annual rate
- 108.1% (from $6.6 million five years earlier)
- Client growth, 1 year
- 17.9% (from 1,310)
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, 2018 | $0 |
| October 1, 2019 | $0 |
| October 1, 2020 | $2.2 million |
| October 4, 2021 | $6.6 million |
| October 3, 2022 | $20.1 million |
| October 5, 2023 | $53.8 million |
| October 1, 2024 | $122.9 million |
| September 2, 2025 | $175.8 million |
| October 2, 2026 | $257.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 772 clients | $257.2 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
- Selection of other advisers
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
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Commodity pool operator or commodity trading advisor
- Insurance company or agency
- Sponsor or syndicator of limited partnerships
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 103
- Also registered through a broker-dealer
- 101
- Employees who are IARs (Form ADV 5.B(3))
- 99
Designations held by the firm's IARs: ChFC 15, CFP 3.
Between 12 and 64 of the firm's 103 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 0 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 |
|---|---|---|
| Ridgeline Wealth Planning LLC | Centerville | $259.6 million |
| Shaker Investments | Beachwood | $258.8 million |
| Tudor Financial, Inc. | Dayton | $256.3 million |
| Ridge Creek Global, Inc. | Strongsville | $254.8 million |
| Game Plan Financial Advisors, LLC | Westlake, Oh | $254.7 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- W&S Brokerage Services, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- 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.