{
  "crd_number": 8099,
  "slug": "w-and-s-brokerage-services-inc-cincinnati-oh-8099",
  "primary_business_name": "W&S BROKERAGE SERVICES, INC.",
  "legal_name": "W&S BROKERAGE SERVICES, INC.",
  "dbas": [],
  "city": "Cincinnati",
  "state": "OH",
  "country": "United States",
  "cbsa_code": "17140",
  "metro": {
    "cbsa_code": "17140",
    "common_name": "Cincinnati",
    "msa_name": "Cincinnati, OH-KY-IN",
    "path": "/advisors/oh/cincinnati"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-09-06",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-08-04",
  "carried_forward": false,
  "raum_total": 257179879.0,
  "raum_discretionary": 257179879.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 114,
  "advisory_employees": 86,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 257179879.0,
      "count": 772
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AL",
    "AZ",
    "CA",
    "CO",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "NC",
    "NJ",
    "NM",
    "NV",
    "OH",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA",
    "WA",
    "WI",
    "WV"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8099",
  "city_as_filed": "CINCINNATI",
  "url": "https://advisorcensus.com/firm/w-and-s-brokerage-services-inc-cincinnati-oh-8099",
  "display_name": "W&S Brokerage Services, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. W&S Brokerage Services, Inc. (CRD 8099): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is W&S Brokerage Services, Inc. compensated?",
      "a": "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."
    },
    {
      "q": "How much does W&S Brokerage Services, Inc. charge?",
      "a": "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."
    },
    {
      "q": "Where is W&S Brokerage Services, Inc. located?",
      "a": "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)."
    },
    {
      "q": "Is W&S Brokerage Services, Inc. registered with the SEC or a state?",
      "a": "W&S Brokerage Services, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 8099."
    },
    {
      "q": "How much does W&S Brokerage Services, Inc. manage?",
      "a": "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)."
    },
    {
      "q": "How have W&S Brokerage Services, Inc.'s assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does W&S Brokerage Services, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (772)."
    },
    {
      "q": "Does W&S Brokerage Services, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in W&S Brokerage Services, Inc.'s recent Form ADV filings?",
      "a": "In the September 2026 filing data: Registered or notice-filed in HI."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 6589394.0,
      "total_employees": 104,
      "filing_date": "2021-06-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 20140000.0,
      "total_employees": 81,
      "filing_date": "2022-06-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 53837000.0,
      "total_employees": 71,
      "filing_date": "2023-04-21"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 122864622.0,
      "total_employees": 85,
      "filing_date": "2024-05-14"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 175814665.0,
      "total_employees": 95,
      "filing_date": "2025-05-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 257179879.0,
      "total_employees": 114,
      "filing_date": "2026-08-04"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Registered or notice-filed in HI."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "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)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $250,000",
        "rate": "1.5%"
      },
      {
        "band": "$250,000 to $500,000",
        "rate": "1.4%"
      },
      {
        "band": "$500,000 to $750,000",
        "rate": "1.3%"
      },
      {
        "band": "Above $750,000",
        "rate": "1.1%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "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"
        ],
        "quotes": [
          "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%"
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 250000.0,
          "rate_pct": 1.5
        },
        {
          "min": 250000.0,
          "max": 500000.0,
          "rate_pct": 1.4
        },
        {
          "min": 500000.0,
          "max": 750000.0,
          "rate_pct": 1.3
        },
        {
          "min": 750000.0,
          "max": null,
          "rate_pct": 1.1
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "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%"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/w-and-s-brokerage-services-inc-cincinnati-oh-8099.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 772,
      "fewer_than_5": false,
      "raum": 257179879.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8099",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}