Broker-dealer firm · Cincinnati, OH
ON Investment Management Co
SEC-registered investment adviser · CRD 105662 · SEC 801-7941
At a glance
ON Investment Management Co is an SEC-registered investment adviser based in Cincinnati, Ohio, with $3.2 billion in regulatory assets under management as of its Form ADV filed August 10, 2026. Its largest client group by assets is individuals, and it reports 9,317 individual clients. By Form ADV it is a broker-dealer firm, ranked 109th of 391 broker-dealer firms and 2,749th of 17,210 SEC-registered advisers by assets.
Main office 855-262-0913onescowealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.2B
- Rank among broker-dealer firms
- #109 of 391
- Rank among all SEC RIAs
- #2,749 of 17,210
- Rank in Ohio
- #55 of 403
- Individual clients
- 9,317
- High-net-worth clients
- 794
- Accounts
- 14,153
- Discretionary
- 29% of AUM
- Employees
- 196
- Advisory staff
- 196
- Offices
- 127
Owners and executives on its Form ADV
- Nancy M WestbrockChairman, President & CEO
- Matthew J. CollinsChief Compliance Officer
Custody and brokerage
Custodian
ON Investment Management Co’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
ON Investment Management Co is a hybrid RIA: 196 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Augustar Distributors, Inc. and The O.N. Equity Sales Company.
- Augustar Distributors, Inc. ↗CRD 41081
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- The O.N. Equity Sales Company ↗CRD 2936
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 8,523 | $1.7B | 55% |
| High-net-worth individuals | 794 | $1.2B | 39% |
| Pension and profit sharing plans | 204 | $114M | 4% |
| Corporations or other businesses | 31 | $51M | 2% |
| Charitable organizations | 16 | $10M | <1% |
Disciplinary disclosures
ON Investment Management Co answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗onescowealth.com ↗
AtlasMembers
The full record on ON Investment Management Co
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 92 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does ON Investment Management Co manage?
ON Investment Management Co reports $3.2 billion in regulatory assets under management across 14,153 accounts, 29% of it on a discretionary basis, on its Form ADV filed August 10, 2026.
What kind of firm is ON Investment Management Co?
ON Investment Management Co is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are ON Investment Management Co’s clients?
By assets, its largest client types are individuals ($1.7 billion, 8,523 clients); high-net-worth individuals ($1.2 billion, 794 clients); pension and profit sharing plans ($114 million, 204 clients).
Does ON Investment Management Co have any disciplinary history?
ON Investment Management Co answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is ON Investment Management Co’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →