WMS ADVISORS, LLC
Adviser information for WMS ADVISORS, LLC last updated from Form ADV on February 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 16 | $3.7M |
| Non-Discretionary | 318 | $192.5M |
| Total | 334 | $196.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 70 | $29.0M |
| HNW Individuals | 35 | $163.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $339,238 |
| Charitable organizations | <5 | $3.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $305,036 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-109946 |
|---|---|
| SEC ERA File Number | 801-109946 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122224 |
| Legal Entity Identifier | None |
Principal Office
6135 PARK SOUTH DRIVESUITE 510
CHARLOTTE
NC
United States
Monday - Friday, 9-5
Tel: 301-294-7804, Fax: 301-294-7809
Chief Compliance Officer
THOMAS G. MACLENNAN, JR.
INVESTMENT ADVISER REPRESENTATIVE
6135 PARK SOUTH DRIVE
SUITE 510
CHARLOTTE
NC
United States
Tel:
301-294-7804
Fax:
301-294-7809
T*********@**************M
(Full email address available in API data)
Regulatory Contact
DAVID R. WILLIAMS
INVESTMENT ADVISER REPRESENTATIVE
11300 ROCKVILLE PIKE, SUITE 800
ROCKVILLE
MD
United States
Tel:
301-294-7804
Fax:
301-294-7809
D********@**************M
(Full email address available in API data)
Industry Affiliates
| SKMB | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Williams, David, Robert | Individual | – | IAR | 06/1977 | < 5% |
| MACLENNAN, THOMAS, GAINES | Individual | – | CHIEF COMPLIANCE OFFICER & IAR | 01/2017 | < 5% |
| TGM CAPITAL, LLC | Domestic Entity | – | MEMBER | 09/2021 | 50-75% |
| TWG-ADVISOR GRP, INC. | Domestic Entity | – | MEMBER | 01/2022 | 50-75% |
| MACLENNAN, THOMAS, GAINES | Individual | TGM CAPITAL, LLC | MANAGING MEMBER | 09/2021 | > 75% |
| Williams, David, Robert | Individual | TWG-ADVISOR GRP, INC. | SHAREHOLDER | 01/2022 | > 75% |