AdvisorCensus / Financial advisors / Ohio / Cincinnati / W&S Brokerage Services, Inc.
W&S Brokerage Services, Inc.
Filed as W&S BROKERAGE SERVICES, INC.
W&S Brokerage Services, Inc. is an SEC-registered investment advisory firm in Cincinnati, OH, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 4, 2026.
Quick answers
From the filingHow is W&S Brokerage Services, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), W&S Brokerage Services, Inc. reports these compensation arrangements: a percentage of assets under its management.
What does W&S Brokerage Services, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated March 31, 2026 states: Up to $250,000: 1.5% a year; $250,000 to $500,000: 1.4% a year; $500,000 to $750,000: 1.3% a year; Above $750,000: 1.1% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is W&S Brokerage Services, Inc. located?
W&S Brokerage Services, Inc.'s principal office is in Cincinnati, OH, according to its Form ADV; the September 2026 filing also lists 61 other offices (Schedule D, Section 1.F).
Is W&S Brokerage Services, Inc. registered with the SEC or a state?
W&S Brokerage Services, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 8099.
How much does W&S Brokerage Services, Inc. manage?
W&S Brokerage Services, Inc. reports $257,179,879 in regulatory assets under management in its Form ADV filing dated August 4, 2026 (100% discretionary).
How have W&S Brokerage Services, Inc.'s assets and staff changed since 2021?
In the Form ADV data for W&S Brokerage Services, Inc.: Regulatory assets under management: $6,589,394 in the October 2021 data and $257,179,879 in the October 2026 data, up 3803%. Total employees: 104 in October 2021 and 114 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does W&S Brokerage Services, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (772).
Does W&S Brokerage Services, Inc. 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/8099
What changed in W&S Brokerage Services, Inc.'s recent Form ADV filings?
In the September 2026 filing data: Registered or notice-filed in HI.
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- A percentage of assets under your management
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 2A| Assets | Annual rate |
|---|---|
| Up to $250,000 | 1.5% |
| $250,000 to $500,000 | 1.4% |
| $500,000 to $750,000 | 1.3% |
| Above $750,000 | 1.1% |
The brochure's wording
Value of Assets in Account Annual Fee Rate First $250,000 1.50% Next $250,000 1.40% Next $250,000 1.30% Thereafter 1.10%
As stated in the firm's Form ADV Part 2A brochure dated March 31, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$257,179,879 as of October 2026, filing dated August 4, 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- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2018 (8 years)
- Employees
- Total: 114. Performing investment advisory functions: 86.
- Wrap fee program participation
- Yes.
- Other offices (Schedule D, Section 1.F)
-
61 other offices, as of the September 2026 filing
- States registered or notice-filed
-
34 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 | $257,179,879 | 114 | August 4, 2026 |
| October 2025 | $175,814,665 | 95 | May 16, 2025 |
| October 2024 | $122,864,622 | 85 | May 14, 2024 |
| October 2023 | $53,837,000 | 71 | April 21, 2023 |
| October 2022 | $20,140,000 | 81 | June 21, 2022 |
| October 2021 | $6,589,394 | 104 | June 9, 2021 |
Regulatory assets under management: $6,589,394 in the October 2021 data and $257,179,879 in the October 2026 data, up 3803%.
Total employees: 104 in October 2021 and 114 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- September 2026
- Registered or notice-filed in HI.
- April 2026
- Employees performing advisory functions went from 67 to 86.
- Regulatory assets under management went from $175,814,665 to $257,179,879 (+46%).
- Added an office in Fort Wayne, IN.
- Added an office in Hickory, NC.
- Added an office in Kingsport, TN.
- Added an office in Las Vegas, NV.
- Added an office in Metairie, LA.
- Added an office in Mishawaka, IN.
- Added an office in Peachtree Corner, GA.
- Added an office in Russell, KY.
- Added an office in Sheffield Village, OH.
- Added an office in Troy, OH.
- Added an office in Van Wert, OH.
- Added an office in Willoughby, OH.
- No longer lists an office in Wooster, OH.
- Updated its list of owners and control persons (Schedule A).
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.INot reported.
Source: 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 Brokerage Services, Inc. (CRD 8099): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/w-and-s-brokerage-services-inc-cincinnati-oh-8099