# 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.

- CRD: 8099
- Filed as: W&S BROKERAGE SERVICES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cincinnati, OH
- Filing period: October 2026
- Form ADV filing dated: August 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/8099
- AdvisorCensus page: https://advisorcensus.com/firm/w-and-s-brokerage-services-inc-cincinnati-oh-8099

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- 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

> 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 brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $257,179,879
- Discretionary: $257,179,879
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 772 | $257,179,879 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2018 (8 years)
- Employees: 114 total, 86 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Akron, OH
- Asheville, NC
- Baton Rouge, LA
- Canton, OH
- Cary, NC
- Celina, OH
- Cerritos, CA
- Cincinnati, OH
- College Park, MD
- Columbus, IN
- Columbus, OH
- Cranberry Twp, PA
- Daniel Island, SC
- Dover, OH
- Eden Prairie, MN
- Findlay, OH
- Fort Wayne, IN
- Fort Wright, KY
- Grand Rapids, MI
- Greenville, SC
- Grove City, OH
- Harlingen, TX
- Heath, OH
- Hermitage, PA
- Hickory, NC
- Houston, TX
- Independence, OH
- Indianapolis, IN
- Jacksonville, FL
- Kingsport, TN
- Lafayette, LA
- Lancaster, OH
- Las Vegas, NV
- Livonia, MI
- Loveland, OH
- Maumee, OH
- Metairie, LA
- Miamisburg, OH
- Miramar, FL
- Mishawaka, IN
- Monaca, PA
- New Albany, OH
- Orland Park, IL
- Owings Mill, MD
- Peachtree Corner, GA
- Pittsburgh, PA
- Roseville, MN
- Russell, KY
- San Diego, CA
- Sheffield Village, OH
- Tampa, FL
- Troy, MI
- Troy, OH
- Van Wert, OH
- Vincennes, IN
- Wayne, PA
- West Chester, OH
- Westlake, TX
- Willoughby, OH
- Wilmington, NC
- Zanesville, OH

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $6,589,394 | 104 | June 9, 2021 |
| October 2022 | $20,140,000 | 81 | June 21, 2022 |
| October 2023 | $53,837,000 | 71 | April 21, 2023 |
| October 2024 | $122,864,622 | 85 | May 14, 2024 |
| October 2025 | $175,814,665 | 95 | May 16, 2025 |
| October 2026 | $257,179,879 | 114 | August 4, 2026 |

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.

## 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. W&S Brokerage Services, Inc. (CRD 8099): Form ADV filing data as of October 2026.