DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
W&S Brokerage Services, Inc.
Latest filing Aug 4, 2026
First filing on the tape Aug 7, 2018 · 31 filings
SEC status approved since Sep 6, 2018
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$257M individuals and HNW
Advisors
104
registered through the firm on IAPD
RAUM per advisor
$2.5M
derived; firm RAUM over IAPD count
Employees
114
86 advisory (5.B.1)
Offices
69
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$257M as of Aug 4, 2026
Mar 29, 2019$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)99 as of Aug 4, 2026
Mar 29, 20196 then
Employees (5.A)114 as of Aug 4, 2026
Mar 29, 201916 then
Private funds: no history
RAUM +46% over the last fiscal year+68% a year over threeIARs 81 to 99offices 51 to 69
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $2.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $267,061derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.5derived70 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $257MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$257M100%
- Individual clients
- 772reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 963reported
- Financial planning clients
- reported
- Wrap fee programs
- $257M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=114.0derived
Advisors registered through the firm
93 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Douglas Burns | Cincinnati, Oh | Sep 21, 2018 | 26 y | 2 |
| George Mitchell KayChartered Financial Consultant | Charlotte, Nc | Feb 11, 2019 | 41 y | 1 |
| Richard Keith Ryan | Cincinnati, Oh | Mar 7, 2019 | 22 y | 1 |
| Michael Joseph Nordyke | Cincinnati, Oh | Mar 11, 2019 | 20 y | 1 |
| Bryan James OkuleyCertified Financial Planner, Chartered Financial Consultant | Maumee, Oh | Jul 10, 2019 | 21 y | 2 |
| Scott Beal | Canton, Oh | Sep 20, 2019 | 16 y | 1 |
| Benjamin P Wallace | Westlake, Tx | Sep 25, 2019 | 25 y | 6 |
| Timothy Zauzig | Wayne, Pa | Sep 25, 2019 | 15 y | 0 |
| Julie Marie CalhounChartered Financial Consultant | Pittsburgh, Pa | Oct 1, 2019 | 22 y | 0 |
| Henry J RossiChartered Financial Consultant | Loveland, Oh | Oct 7, 2019 | 13 y | 0 |
| Cindy Sin-Yi Tsai | Cincinnati, Oh | Nov 15, 2019 | 12 y | 0 |
| Joseph Leo Sheffieck | Livonia, Mi | Mar 27, 2020 | 21 y | 2 |
| Brian C Witherby | Cincinnati, Oh | Jun 3, 2020 | 13 y | 0 |
| Jordan Alexander Lutz | New Albany, Oh | Jul 13, 2020 | 13 y | 0 |
| Rene C TamezChartered Financial Consultant | Harlingen, Tx | Oct 20, 2020 | 27 y | 3 |
| Derrick D Edmonds | Tampa, Fl | Nov 10, 2020 | 11 y | 0 |
| Blair R Hrovat | Columbus, In | Nov 24, 2020 | 13 y | 0 |
| Stacy A WassermanChartered Financial Consultant | Westlake, Tx | Mar 10, 2021 | 21 y | 1 |
| Paul J KelblyCertified Financial Planner | Owings Mill, Md | Apr 20, 2021 | 10 y | 0 |
| Mary Beth Blair | Cincinnati, Oh | Oct 20, 2021 | 11 y | 1 |
| Trang Athena Le | Pittsburgh, Pa | Apr 11, 2022 | 17 y | 0 |
| Zachary W MetzgerChartered Financial Consultant | Findlay, Oh | Apr 18, 2022 | 12 y | 0 |
| David Anthony AdamsonChartered Financial Consultant | Orland Park, Il | May 2, 2022 | 28 y | 1 |
| Earl Gerard Seitz | San Diego, Ca | May 14, 2022 | 12 y | 1 |
| Jeffry L Risser | Findlay, Oh | Aug 12, 2022 | 12 y | 0 |
| Ryan A Matney | Daniel Island, Sc | Sep 26, 2022 | 10 y | 0 |
| Thomas Andrew RollChartered Financial Consultant | Columbus, In | Oct 12, 2022 | 14 y | 0 |
| Rebecca Newman ReynoldsChartered Financial Consultant | Cincinnati, Oh | Oct 27, 2022 | 16 y | 0 |
| Kristie Lynn Damore | Troy, Mi | Dec 12, 2022 | 13 y | 0 |
| Leshawn Powers | Independence, Oh | Jan 10, 2023 | 14 y | 5 |
| Phillip Tyler West | Asheville, Nc | Feb 27, 2023 | 12 y | 0 |
| Michael Robert Cheslock | Willoughby, Oh | Mar 2, 2023 | 13 y | 0 |
| Jonathan D Levine | Indianapolis, In | Mar 27, 2023 | 12 y | 0 |
| Scott James Bliss | Findlay, Oh | Apr 24, 2023 | 11 y | 0 |
| Jacob Quincy White | Daniel Island, Sc | May 31, 2023 | 14 y | 0 |
| Mark Molley | Cincinnati, Oh | Jun 30, 2023 | 18 y | 2 |
| Edwin Cisneros | Cincinnati, Oh | Jul 14, 2023 | 16 y | 0 |
| Tamara R Simendinger | Cincinnati, Oh | Aug 1, 2023 | 29 y | 0 |
| Adam J Locascio | Tampa, Fl | Sep 18, 2023 | 22 y | 3 |
| Remington P Taylor | Cincinnati, Oh | May 29, 2024 | 11 y | 0 |
Advisor movement
26 left, 15 joined in 12 months
net -11 in 12 months5 left in 90 days2 joined in 90 daysdeparture rate 25% of current headcount63 left over 36 months
Left, latest
- Abrahim Mutee Kassim to Edward JonesAug 24, 2026 · Affiliated broker-dealer or bank to another
- Sydney Katrina Hyatt to Transamerica Financial Advisors, LLCAug 17, 2026 · Affiliated broker-dealer or bank to another
- Jared H Bovinet to Empower Advisory Group, LLCJul 20, 2026 · Affiliated broker-dealer or bank to another
- Patrick George Tang to Apollon Wealth Management, LLCJul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Larry Claxton to Cetera Investment Advisers LLCJul 6, 2026 · Affiliated broker-dealer or bank to another
- Jeffrey Page to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 15, 2026 · Affiliated broker-dealer or bank to wirehouse
- Ian Thomas Thanasiu to Advisory Alpha, LLCMay 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tylan Shelby to Ameriprise Financial Services, LLCMay 26, 2026 · Affiliated broker-dealer or bank to another
- Cameron Alan Githens to Fisher InvestmentsMay 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Blake Smith to Charles Schwab & Co., Inc.May 4, 2026 · Affiliated broker-dealer or bank to another
- Daniel C Cubbison to W&S Advisory Services, LLCApr 27, 2026 · Other
- Matthew Cole Plymale to Charles Schwab & Co., Inc.Apr 27, 2026 · Affiliated broker-dealer or bank to another
- Michael Thomas Bugg to Voya Financial Advisors, Inc.Mar 23, 2026 · Affiliated broker-dealer or bank to another
- Henry Eilefson to Secured Retirement Advisors, LLCFeb 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brayden Horn to Eagle Strategies LLCJan 28, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Renee Charlene De Haan from Principal Securities, Inc.Aug 12, 2026 · Affiliated broker-dealer or bank to another
- Donald James from Thrivent Investment Management Inc.Jul 8, 2026 · Affiliated broker-dealer or bank to another
- Evan Matthew Valeri from LPL Financial LLCJun 12, 2026 · Affiliated broker-dealer or bank to another
- Niccolo Alfred Gonzales from Cetera Investment Advisers LLCMar 23, 2026 · Affiliated broker-dealer or bank to another
- Scott James Walker from LPL Financial LLCMar 19, 2026 · Affiliated broker-dealer or bank to another
- Dawson Troy-Lee Johnson from Equitable Advisors, LLCMar 10, 2026 · Affiliated broker-dealer or bank to another
- Wayne Stephen Babst from Truist Advisory Services, Inc.Feb 5, 2026 · Affiliated broker-dealer or bank to another
- Jane E Kwoun from Pruco Securities, LLCJan 5, 2026 · Affiliated broker-dealer or bank to another
- Matthew Cole Plymale from Valic Financial Advisors, Inc.Dec 22, 2025 · Affiliated broker-dealer or bank to another
- Uriah Eli Jackson from Edward JonesDec 4, 2025 · Affiliated broker-dealer or bank to another
- Marcelo C Hernandez from LPL Enterprise, LLCOct 9, 2025 · Affiliated broker-dealer or bank to another
- Marchaun Morrison from Pruco Securities, LLCOct 8, 2025 · Affiliated broker-dealer or bank to another
- Jonnie Goodmanson from Edward JonesSep 30, 2025 · Affiliated broker-dealer or bank to another
- Daniel Owens from Strategic Advisers LLCSep 22, 2025 · Affiliated broker-dealer or bank to another
- Reginald Lamont Venson from LPL Enterprise, LLCSep 19, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Transamerica Financial Advisors, LLCFeb 18, 2025 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jason Todd Anderson · Assistant Treasurercontrolsince 03/2020 · owns less than 5%
- Troy Dale Brodie · Presidentcontrolsince 04/2014 · owns less than 5%
- James Joseph Deluca · Vp, Marketingcontrolsince 03/2015 · owns less than 5%
- Sarah Sparks Herron · Corporate Secretarycontrolsince 01/2015 · owns less than 5%
- Jay Vincent Johnson · Treasurercontrolsince 05/2018 · owns less than 5%
- Matthew William Loveless · Vp, Strategic Development And Operationscontrolsince 03/2015 · owns less than 5%
- Gregory Michael Luebbe · Assistant Vice Presidentcontrolsince 10/2003 · owns less than 5%
- Jill Tripp Mcgruder · Directorcontrolsince 03/2015 · owns less than 5%
- Jonathan David Niemeyer · Directorcontrolsince 01/2001 · owns less than 5%
- Shawn Michael Scott · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- Timothy Steven Stearns · Vp, Compliance Officercontrolsince 12/2021 · owns less than 5%
- Terrie Ann Wiedenheft · Senior Vice President And Cfocontrolsince 03/1999 · owns less than 5%
- Donald Joseph Wuebbling · Directorcontrolsince 03/2015 · owns less than 5%
- Douglas Edward Mourne · Avp, Brokerage Operationssince 05/2023 · owns less than 5%
- Scott Joseph Wittman · Vp Taxsince 12/2022 · owns less than 5%
Entity owners
- Western And Southern Life Assurance Company · Ownerdirect · owns 75% or more
- The Western And Southern Life Insurance Company · Shareholderindirect · owns 75% or more of Western-Southern Life Assurance Company
- Western & Southern Financial Group, Inc. · Shareholderindirect · owns 75% or more of The Western And Southern Life Insurance Company
- Western & Southern Mutual Holding Company, Inc. · Shareholderindirect · owns 75% or more of Western & Southern Financial Group, Inc.
Related persons
Schedule D 7.A
- Eagle Realty Capital Partners, LLCinvestment adviserpooled vehicle sponsorn
- Fort Washington Investment Advisors Incinvestment adviserbankpooled vehicle sponsornRAUM $93B
- Touchstone Advisors Incinvestment adviserbanknRAUM $31B
- Touchstone Securities, Inc.broker-dealern
Advisers that list W&S Brokerage Services, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 29 | 5 | 0 | ||
| Findlay, Oh | 7 | 0 | 1 | ||
| Fort Wright, Ky | 6 | 1 | 0 | ||
| Daniel Island, Sc | 5 | 2 | 2 | ||
| Independence, Oh | 5 | 0 | 1 | ||
| Indianapolis, In | 5 | 2 | 0 | ||
| Willoughby, Oh | 5 | 1 | 0 | ||
| Columbus, Oh | 5 | 2 | 0 | ||
| Troy, Mi | 4 | 1 | 0 | ||
| Peachtree Corner, Ga | 4 | 3 | 0 | ||
| Westlake, Tx | 4 | 0 | 0 | ||
| Pittsburgh, Pa | 3 | 1 | 0 | ||
| Tampa, Fl | 3 | 1 | 0 | ||
| Cerritos, Ca | 3 | 3 | 0 | ||
| Las Vegas, Nv | 3 | 2 | 0 | ||
| Maumee, Oh | 3 | 0 | 2 | ||
| New Albany, Oh | 2 | 0 | 0 | ||
| Canton, Oh | 2 | 1 | 0 | ||
| Columbus, In | 2 | 0 | 0 | ||
| Cranberry Twp, Pa | 2 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Fort Wright, KY8 employees
- Cincinnati, OH5 employees
- Findlay, OH5 employees
- Tampa, FL4 employees
- Independence, OH4 employees
- Daniel Island, SC4 employees
- West Chester, OH3 employees
- Wayne, PA3 employees
- Westlake, TX3 employees
- Lancaster, OH3 employees
- Willoughby, OH3 employees
- Indianapolis, IN3 employees
- Owings Mill, MD3 employees
- Loveland, OH3 employees
- San Diego, CA2 employees
- Troy, MI2 employees
- Evansville, IN2 employees
- New Albany, OH2 employees
- Heath, OH2 employees
- Cary, NC2 employees
- Grand Rapids, MI2 employees
- Ontario, CA2 employees
- Maumee, OH2 employees
- Pittsburgh, PA2 employees
- Zanesville, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 655 to 963May 16, 2025 to Mar 31, 2026
- Advisory employees · 67 to 86May 16, 2025 to Mar 31, 2026
- BD registered reps · 95 to 114May 16, 2025 to Mar 31, 2026
- Individual clients · 655 to 772May 16, 2025 to Mar 31, 2026
- Employees · 95 to 114May 16, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 9May 16, 2025 to Mar 31, 2026
- State-registered IARs · 81 to 99May 16, 2025 to Mar 31, 2026
- Other offices · 51 to 69May 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $176M to $257MMay 16, 2025 to Mar 31, 2026
- Individual RAUM · $176M to $257MMay 16, 2025 to Mar 31, 2026
- RAUM · $176M to $257MMay 16, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $176M to $257MMay 16, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 16, 2025
- Accounts · 451 to 655Jan 8, 2025 to Mar 31, 2025
- Advisory employees · 73 to 67Jan 8, 2025 to Mar 31, 2025
- BD registered reps · 85 to 95Jan 8, 2025 to Mar 31, 2025
- Individual clients · 451 to 655Jan 8, 2025 to Mar 31, 2025
- Employees · 85 to 95Jan 8, 2025 to Mar 31, 2025
- State-registered IARs · 76 to 81Jan 8, 2025 to Mar 31, 2025
- Other offices · 57 to 51Jan 8, 2025 to Mar 31, 2025
- Discretionary RAUM · $123M to $176MJan 8, 2025 to Mar 31, 2025
- Individual RAUM · $123M to $176MJan 8, 2025 to Mar 31, 2025
- RAUM · $123M to $176MJan 8, 2025 to Mar 31, 2025
- Wrap assets (sponsor) · $123M to $176MJan 8, 2025 to Mar 31, 2025
- Accounts · 233 to 451Jan 17, 2024 to Mar 29, 2024
- Advisory employees · 56 to 73Jan 17, 2024 to Mar 29, 2024
- BD registered reps · 71 to 85Jan 17, 2024 to Mar 29, 2024
- Individual clients · 233 to 451Jan 17, 2024 to Mar 29, 2024
- Employees · 71 to 85Jan 17, 2024 to Mar 29, 2024
- Financial planning clients · 0 to unsetJan 17, 2024 to Mar 29, 2024
- State-registered IARs · 56 to 76Jan 17, 2024 to Mar 29, 2024
- Other offices · 50 to 57Jan 17, 2024 to Mar 29, 2024
- Discretionary RAUM · $53.8M to $123MJan 17, 2024 to Mar 29, 2024
- Individual RAUM · $53.8M to $123MJan 17, 2024 to Mar 29, 2024
- RAUM · $53.8M to $123MJan 17, 2024 to Mar 29, 2024
- Wrap assets (sponsor) · $53.8M to $123MJan 17, 2024 to Mar 29, 2024
- Accounts · 70 to 233Jan 4, 2023 to Mar 28, 2023
- Advisory employees · 66 to 56Jan 4, 2023 to Mar 28, 2023
- BD registered reps · 81 to 71Jan 4, 2023 to Mar 28, 2023
- Individual clients · 70 to 233Jan 4, 2023 to Mar 28, 2023
Signals
60 dated events
- Lucas Walker Hopkins no longer holds an investment adviser registration (last listed at W&S Brokerage Services, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Abrahim Mutee Kassim left W&S Brokerage Services, Inc. for Edward Jones (registered 2026-08-21)Aug 24, 2026 · Advisor changed firm · fact
- Sydney Katrina Hyatt left W&S Brokerage Services, Inc. for Transamerica Financial Advisors, Llc (registered 2026-09-09)Aug 17, 2026 · Advisor changed firm · fact
- Jared H Bovinet left W&S Brokerage Services, Inc. for Empower Advisory Group, Llc (registered 2026-07-23)Jul 20, 2026 · Advisor changed firm · fact
- Patrick George Tang left W&S Brokerage Services, Inc. for Apollon Wealth Management, Llc (registered 2026-07-20)Jul 6, 2026 · Advisor changed firm · fact
- Larry Claxton left W&S Brokerage Services, Inc. for Cetera Investment Advisers Llc (registered 2026-08-10)Jul 6, 2026 · Advisor changed firm · fact
- Jeffrey Page left W&S Brokerage Services, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-07-08)Jun 15, 2026 · Advisor changed firm · fact
- Tylan Shelby left W&S Brokerage Services, Inc. for Ameriprise Financial Services, Llc (registered 2026-06-12)May 26, 2026 · Advisor changed firm · fact
- Ian Thomas Thanasiu left W&S Brokerage Services, Inc. for Advisory Alpha, Llc (registered 2026-06-08)May 26, 2026 · Advisor changed firm · fact
- Cameron Alan Githens left W&S Brokerage Services, Inc. for Fisher Investments (registered 2026-06-15)May 18, 2026 · Advisor changed firm · fact
- Blake Smith left W&S Brokerage Services, Inc. for Charles Schwab & Co., Inc. (registered 2026-05-22)May 4, 2026 · Advisor changed firm · fact
- Daniel C Cubbison left W&S Brokerage Services, Inc. for W&S Advisory Services, Llc (registered 2026-01-13)Apr 27, 2026 · Advisor changed firm · fact
- Matthew Cole Plymale left W&S Brokerage Services, Inc. for Charles Schwab & Co., Inc. (registered 2026-04-28)Apr 27, 2026 · Advisor changed firm · fact
- W&S Brokerage Services, Inc. reported 69 offices beyond its principal office, up from 51 (2025-05-16 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- W&S Brokerage Services, Inc. reported 99 state-registered advisory representatives, up from 81 (2025-05-16 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- Michael Thomas Bugg left W&S Brokerage Services, Inc. for Voya Financial Advisors, Inc. (registered 2026-04-02)Mar 23, 2026 · Advisor changed firm · fact
- Henry Eilefson left W&S Brokerage Services, Inc. for Secured Retirement Advisors, Llc (registered 2026-03-05)Feb 9, 2026 · Advisor changed firm · fact
- Brayden Horn left W&S Brokerage Services, Inc. for Eagle Strategies Llc (registered 2026-04-07)Jan 28, 2026 · Advisor changed firm · fact
- Salvatore Lauri left W&S Brokerage Services, Inc. for Integrity Alliance, Llc (registered 2026-06-12)Jan 28, 2026 · Advisor changed firm · fact
- Vivienne Ather left W&S Brokerage Services, Inc. for Eagle Strategies Llc (registered 2026-03-18)Jan 28, 2026 · Advisor changed firm · fact
- Allen Daniel Kilburn left W&S Brokerage Services, Inc. for Esi Financial Advisors (registered 2026-01-27)Jan 20, 2026 · Advisor changed firm · fact
- Eric Todd Runyon left W&S Brokerage Services, Inc. for Wells Fargo Advisors (registered 2026-01-20)Jan 12, 2026 · Advisor changed firm · fact
- Linda Nana Mmera left W&S Brokerage Services, Inc. for Navy Federal Investment Services, Llc (registered 2026-01-15)Jan 12, 2026 · Advisor changed firm · fact
- Joshua Benjamin Feld left W&S Brokerage Services, Inc. for Cx Institutional, Llc (registered 2025-11-20)Nov 17, 2025 · Advisor changed firm · fact
- Eric Stephen Speer left W&S Brokerage Services, Inc. for Esi Financial Advisors (registered 2025-11-12)Nov 10, 2025 · Advisor changed firm · fact
- Ethan Sherman left W&S Brokerage Services, Inc. for Strategic Advisers Llc (registered 2025-12-17)Nov 10, 2025 · Advisor changed firm · fact
- Ryan Kohout left W&S Brokerage Services, Inc. for Touchstone Advisors Inc (registered 2025-11-07)Nov 3, 2025 · Advisor changed firm · fact
- Mark Christopher Zonno left W&S Brokerage Services, Inc. for Cetera Investment Advisers Llc (registered 2025-09-12)Sep 29, 2025 · Advisor changed firm · fact
- Shauvi Rogers left W&S Brokerage Services, Inc. for Lpl Enterprise, Llc (registered 2025-09-30)Sep 29, 2025 · Advisor changed firm · fact
- Joel A Wozny left W&S Brokerage Services, Inc. for Key Investment Services Llc (registered 2025-09-11)Sep 2, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 800-257-2135reportedpublic record, Form ADV, Aug 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026