Wealth manager, wrap-program sponsor · Cincinnati, OH
W&s Advisory Services, LLC
SEC-registered investment adviser · CRD 334683 · SEC 801-132082
At a glance
W&s Advisory Services, LLC is an SEC-registered investment adviser based in Cincinnati, Ohio, with $5 million in regulatory assets under management as of its Form ADV filed May 7, 2026. Its largest client group by assets is individuals, and it reports 6,689 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 8,781st of 8,915 wealth managers and 16,360th of 17,210 SEC-registered advisers by assets.
Main office 513-361-7600LinkedInAs filed on Form ADV
- Regulatory AUM
- $5M
- Rank among wealth managers
- #8,781 of 8,915
- Rank among all SEC RIAs
- #16,360 of 17,210
- Rank in Ohio
- #395 of 403
- Individual clients
- 6,689
- High-net-worth clients
- 0
- Accounts
- 6,689
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 9
- Offices
- 8
Owners and executives on its Form ADV
- Timothy Steven StearnsVP, Chief Compliance Officer
- Troy Dale BrodieDirector
- John H. BultemaDirector
- Jill Tripp McGruderDirector
- Jonathan David NiemeyerDirector
- David A RosenbluthDirector
- Matthew William LovelessPresident
- Benjamin E. FotschVice President
- Jay Vincent JohnsonVice President and Treasurer
- Steven P. SurgnierVice President
- Scott Joseph WittmanVice President
- Spencer A. BaderAssistant Treasurer
Custody and brokerage
Custodian
W&s Advisory Services, LLC’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
W&s Advisory Services, LLC is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Touchstone Securities, LLC and W&s Brokerage Services, Inc..
- Touchstone Securities, LLC ↗CRD 1526
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- W&s Brokerage Services, Inc. ↗CRD 8099
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 6,689 | $5M | 100% |
Disciplinary disclosures
W&s Advisory Services, LLC 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
How it’s paid
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on W&s Advisory Services, LLC
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, 1 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 87 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does W&s Advisory Services, LLC manage?
W&s Advisory Services, LLC reports $5 million in regulatory assets under management across 6,689 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 7, 2026.
What kind of firm is W&s Advisory Services, LLC?
W&s Advisory Services, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are W&s Advisory Services, LLC’s clients?
By assets, its largest client types are individuals ($5 million, 6,689 clients).
Does W&s Advisory Services, LLC have any disciplinary history?
W&s Advisory Services, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is W&s Advisory Services, LLC’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 (2026-05-07), 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 →