Wealth manager, independent · Sandusky, OH
W.A. Smith Financial Group
Great Lakes Retirement, Inc. · SEC-registered investment adviser · CRD 146608 · SEC 801-110042
At a glance
W.A. Smith Financial Group is an SEC-registered investment adviser based in Sandusky, Ohio, with $1.2B in regulatory assets under management as of its Form ADV filed September 18, 2026. It reports 1,665 individual clients, 336 of them high-net-worth, holding an average of about $0.7 million each, and 27 employees. That ranks it 942nd among the nation’s 5,657 independent wealth management RIAs and 43rd of 226 in Ohio. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 419-626-8600wasmithfinancial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #942 of 5,657
- Rank among all SEC RIAs
- #4,926 of 17,210
- Rank in Ohio
- #43 of 226
- Individual clients
- 1,665
- High-net-worth clients
- 336
- Accounts
- 7,044
- Discretionary
- 93% of AUM
- Employees
- 27
- Advisory staff
- 13
- Offices
- 4
Owners and executives on its Form ADV
- William A. SmithPresident
- Brian J. PetraitisChief Compliance Officer
- Andrew S ToccaceliChief Operations Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
W.A. Smith Financial Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 336 | $672M | 58% |
| Individuals | 1,329 | $490M | 42% |
| Pension and profit sharing plans | 4 | $2M | <1% |
Disciplinary disclosures
W.A. Smith Financial Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗wasmithfinancial.com ↗
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The full record on W.A. Smith Financial Group
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, 8 years of filings
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- Growth over one, three and five years
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- Rank against 3,138 peers of its type and size
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- Owners and executives, with titles and stakes
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- 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.
Similar-size RIAs in Ohio
All of Ohio →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Wealth Dimensions Group, LTD.Cincinnati | $1.2B | 704 |
| HCM Wealth AdvisorsCincinnati | $1.2B | 850 |
| TCP Asset Management, LLCUpper Arlington | $1.2B | 2,221 |
| Frazier Financial Advisors, LLCColumbus | $1.2B | 724 |
| Kohmann Bosshard Financial Services, LLC.Akron | $1.1B | 475 |
| The Joseph Group Capital ManagementColumbus | $1.1B | 818 |
Background
Questions
How much does W.A. Smith Financial Group manage?
W.A. Smith Financial Group reports $1.2B in regulatory assets under management across 7,044 accounts, 93% of it on a discretionary basis, on its Form ADV filed September 18, 2026.
How many clients does W.A. Smith Financial Group have?
It reports 1,665 individual clients: 336 high-net-worth individuals and 1,329 other individuals. Individuals account for about 100% of its regulatory assets.
Where is W.A. Smith Financial Group headquartered?
Its main office is in Sandusky, Ohio. It reports 4 offices in total and 27 employees, 13 of whom perform investment advisory functions.
How does W.A. Smith Financial Group charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does W.A. Smith Financial Group use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed September 18, 2026, it reports these amounts held: Fidelity ($1.2B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is W.A. Smith Financial Group a hybrid RIA with a broker-dealer?
W.A. Smith Financial Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is W.A. Smith Financial Group a fiduciary?
As an SEC-registered investment adviser, W.A. Smith Financial Group owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is W.A. Smith Financial Group’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 (2026-09-18), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →