WMS Wealth Management LLC

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Client assets under management

$46,847,340

Clients

136

38% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$344,466

About

The firm provides investment management, supervisory services and occasional financial planning for individuals, trusts, estates, charitable organizations, pension and profit-sharing plans, and business entities, serving both high-net-worth and non-high-net-worth clients. Advisory services are delivered primarily on an asset‑under‑management basis with financial planning available on an hourly or as‑requested basis.

Investment decisions are made using a mix of active and passive strategies and a range of instruments — including stocks, bonds, mutual funds, ETFs and covered‑call options — informed by charting, fundamental and technical analysis and third‑party research. Portfolios are tailored to client objectives and risk tolerance, managed with full discretionary authority, and reviewed at least semi‑annually; clients may impose investment restrictions that the firm accommodates.

Distinctive operational features include a small, two‑advisor firm managing roughly $46.8 million across about 136 client accounts, exclusive custody relationships with Axos Clearing and CNB Custody (including custody of alternative investments and use of Advisor/I share classes), and a stated practice of not voting proxies on clients’ behalf. The firm’s ADV also discloses past arbitration awards and a bankruptcy involving one principal, which are material supervisory and disciplinary details for prospective clients to consider.

Client services

Financial planning Portfolio management

Expertise

College savings (529s, UTMA, etc.) Annuities Options & derivatives strategies

Fee options

Percentage

$0 - $499,000: 1.85% $499,001 - $1,000,000: 1.60% $1,000,001 - $3,000,000: 1.25% $3,000,001+: 1.00%

Project-based

$250 per hour for financial planning or advice without asset management

Other

Fee-only: Fee only basis with discretion, no commissions or mark-ups received

Main office location

WMS Wealth Management LLC

12189 Greenhaven, Suite 108

Mukilteo WA 98275-6062, United States

Number of offices

Most active in

Idaho · Washington

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

206-726-1633

Advisors at this firm

William S

Series 66

Mukilteo, WA

WMS Wealth Management LLC

William Swayne is a financial advisor at WMS Wealth Management LLC with 23 years of industry experience. He holds the Series 66 designation and has worked at several firms including Integrity Brokerage, LLC, Cabot Lodge Securities LLC, and Independent Financial Group. He is also involved with WMS Consultants, LLC, where he provides insurance consulting services. WMS Wealth Management LLC offers discretionary investment management and financial planning services to individuals, trusts, estates, charitable organizations, and retirement plans. The firm employs both active and passive investment strategies and conducts regular portfolio reviews, serving clients on a fee-only asset-under-management basis.

College savings (529s, UTMA, etc.) Annuities Options & derivatives strategies

Candace S

Series 65

Mukilteo, WA

WMS Wealth Management LLC

Candace Swayne is a financial advisor at WMS Wealth Management LLC with eight years of industry experience. She holds a Series 65 designation and previously worked at SANDLAPPER Wealth Management, LLC and Pacific West Securities, Inc. Outside of financial advising, Candace is involved with Chelan Ridge Winery, where she supports the tasting room operations. WMS Wealth Management LLC provides discretionary investment management and supervisory services, along with hourly financial planning for individuals, trusts, estates, charitable organizations, and retirement plans. The firm employs both active and passive investment strategies and conducts regular portfolio reviews, serving clients with a fee-only asset-under-management model.

College savings (529s, UTMA, etc.) Annuities Options & derivatives strategies

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