{"url":"https://nivawealth.com/firms/w-and-s-management-services-127852","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127852","regulatoryAum":166000000,"crd":"127852","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6316104","suffix":null,"lastName":"PATERNICO","firstName":"SALVATORE","middleName":null},{"crd":"4704954","suffix":null,"lastName":"WARD","firstName":"BRIAN","middleName":"DOUGLAS"},{"crd":"4888925","suffix":null,"lastName":"WARD","firstName":"NATHAN","middleName":"ROBERT"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":71900000,"clients":245,"employees":4,"offices":2},{"filedOn":"2022-03-31","regulatoryAum":85900000,"clients":325,"employees":4,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":101300000,"clients":365,"employees":4,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":112800000,"clients":365,"employees":4,"offices":2},{"filedOn":"2025-03-30","regulatoryAum":134400000,"clients":426,"employees":4,"offices":2},{"filedOn":"2026-03-26","regulatoryAum":166000000,"clients":487,"employees":4,"offices":2}],"secFileNumber":"801-69165","legalName":"W & S Management Services, Inc.","displayName":"W & S Management Services","slug":"w-and-s-management-services-127852","website":"https://wandsmgmt.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/w-s-management-services","founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"470 Long Pond Road Suite 200","city":"Rochester","state":"NY","stateName":"New York","country":"United States","postalCode":"14612"},"tradeNames":[],"registration":{"secApproved":"21 May 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INDIVIDUALS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:57:25.622081+00:00","documents":[{"name":"W&S INDIVIDUALS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027916","versionId":1027916,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":162200000}],"custodyNote":"W & S Management Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brian Ward","title":"President","crd":"4704954"},{"name":"Nathan Ward","title":"Vice President/Chief Compliance Officer","crd":"4888925"}],"ownership":[{"label":"Brian Ward","detail":"President in the 25% to 50% ownership band and a control person, since October 2000."},{"label":"Nathan Ward","detail":"Vice president/chief compliance officer in the 50% to 75% ownership band and a control person, since August 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"470 Long Pond Road Suite 200","city":"Rochester","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"585-720-9971","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":67},{"label":"U.S. government/agency bonds","percent":9},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127852/PDF/127852.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027916","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does W & S Management Services have?","answer":"W & S Management Services has 487 clients and manages $166 million for them, as of March 2026. They include 436 individual clients and 51 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does W & S Management Services offer?","answer":"W & S Management Services provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does W & S Management Services charge?","answer":"W & S Management Services charges 0.50%–0.75% a year for its Portfolio Management Services. Each asset band is charged at its own rate. The fee is negotiable.","source":"W&S INDIVIDUALS, filed 26 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does W & S Management Services use?","answer":"W & S Management Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $162M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does W & S Management Services have?","answer":"W & S Management Services has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does W & S Management Services invest in?","answer":"At the end of its last fiscal year, W & S Management Services’ separately managed accounts held 67% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 9% U.S. government and agency bonds and 2% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns W & S Management Services?","answer":"W & S Management Services’ direct owners are Brian Ward (25% to 50%) and Nathan Ward (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does W & S Management Services get paid?","answer":"W & S Management Services is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact W & S Management Services?","answer":"W & S Management Services’ main office is at 470 Long Pond Road Suite 200, Rochester, NY 14612. Its phone number is 585-720-9971. Its website is wandsmgmt.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}