AdvisorCensus / Financial advisors / Ohio / Cincinnati / W&S Advisory Services, LLC
W&S Advisory Services, LLC is an SEC-registered investment advisory firm in Cincinnati, OH, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 7, 2026.
Quick answers
From the filingHow is W&S Advisory Services, LLC compensated?
On its Form ADV (Item 5.E, October 2026), W&S Advisory Services, LLC reports these compensation arrangements: fixed fees (other than subscription fees).
Where is W&S Advisory Services, LLC located?
W&S Advisory Services, LLC's principal office is in Cincinnati, OH, according to its Form ADV; the June 2026 filing also lists 7 other offices (Schedule D, Section 1.F).
Is W&S Advisory Services, LLC registered with the SEC or a state?
W&S Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 334683.
How much does W&S Advisory Services, LLC manage?
W&S Advisory Services, LLC reports $5,292,397 in regulatory assets under management in its Form ADV filing dated May 7, 2026 (100% discretionary).
How have W&S Advisory Services, LLC's assets and staff changed since 2025?
In the Form ADV data for W&S Advisory Services, LLC: Regulatory assets under management: $0 in the October 2025 data and $5,292,397 in the October 2026 data. Total employees: 1 in October 2025 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does W&S Advisory Services, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (6,689).
Does W&S Advisory Services, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/334683
What changed in W&S Advisory Services, LLC's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $0 to $5,292,397. Employees performing advisory functions went from 0 to 9. Added an office in Heath, OH. Added an office in Mishawaka, IN. Added an office in Wilmington, NC. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$5,292,397 as of October 2026, filing dated May 7, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2025 (1 year)
- Employees
- Total: 9. Performing investment advisory functions: 9.
- Wrap fee program participation
- Yes.
- Other offices (Schedule D, Section 1.F)
-
7 other offices, as of the June 2026 filing
- States registered or notice-filed
-
19 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $5,292,397 | 9 | May 7, 2026 |
| October 2025 | $0 | 1 | July 15, 2025 |
Regulatory assets under management: $0 in the October 2025 data and $5,292,397 in the October 2026 data.
Total employees: 1 in October 2025 and 9 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $0 to $5,292,397.
- Employees performing advisory functions went from 0 to 9.
- Added an office in Heath, OH.
- Added an office in Mishawaka, IN.
- Added an office in Wilmington, NC.
- Updated its list of owners and control persons (Schedule A).
- February 2026
- Registered or notice-filed in AL, AZ, CA, IL, IN, ME, MI, NJ, WV.
- January 2026
- Added an office in Independence, OH.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. W&S Advisory Services, LLC (CRD 334683): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/w-and-s-advisory-services-llc-cincinnati-oh-334683