SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
W&S Advisory Services, LLC
Cincinnati, OH
CRD 334683
Firm filing updated May 7, 2026 ·
- $5.3MAssets
- 6,689Clients
- 9Advisory staff
- 6,689Accounts
Fees and minimums
All fee types on the form
- Fixed feesYes
- Percentage of assets under managementNo
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals6,689
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 6,689 | $5.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$5.3 million
- Accounts6,689
- DiscretionaryAll accounts
People
- Employees9
- Advisory staff9
- Broker-dealer reps9
- Licensed insurance agents9
- Planning clients1 to 10
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 334683, SEC file 801-132082.
- Registered with the SEC as an investment advisor (status date on record: March 7, 2025).
Is W&S Advisory Services, LLC a fiduciary?
Short answer: W&S Advisory Services, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 9 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
9 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.